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Trinnovo Group | B Corp™

Compliance Supervisor

Newcastle upon Tyne Full-Time 43200 - 72000 £ / year (est.) Home office (partial)

Job Description

Job Title: Compliance Firm & Adviser Supervisor

Location: Remote working (20% site visits)

Opportunity to work for a leading UK financial advice network, committed to delivering high-quality support to advisers and ensuring compliance with FCA regulations.

You will support the supervision of Appointed Representative (AR) firms, ensuring compliance with company policies, FCA regulations, and high professional standards. The role involves regular travel and some visits to Head Office.

Key Responsibilities

Monitor AR firms’ compliance with policies and FCA regulations.
Assess risk and competence of individual representatives.
Provide training and development to new and existing representatives.
Conduct risk assessments and recommend action plans to mitigate compliance risks.
Report any concerns regarding AR firms to senior management.

What We’re Looking For

5+ years in a regulated financial services environment, ideally in a supervision or advisory role.
Investments or mortgages background
CeMap Qualification needed
Financial Planning Certificate
Level 4 Diploma (desirable) – happy to work towards

Compliance Supervisor employer: Trinnovo Group | B Corp™

Join a leading UK financial advice network that prioritises high-quality support and compliance excellence. With a strong commitment to employee development, you will benefit from a collaborative work culture that encourages growth through training and mentorship. Enjoy the flexibility of remote working with occasional site visits, allowing you to balance professional responsibilities with personal life while contributing to a reputable organisation in the financial services sector.