Compliance Support Supervisor - #2087347

Compliance Support Supervisor

Cardiff

Hybrid

Competitive Salary

This opportunity is ideal for an experienced financial services compliance professional who enjoys providing practical technical support to advisory firms.

The role would suit someone with a strong understanding of financial advice compliance, Consumer Duty and investment propositions, who can help firms apply regulatory expectations in a clear and commercially workable way.

The Business

We’re working with a well established and growing financial services group that supports a network of financial advisers, mortgage brokers and support professionals across the UK.

The business has built a strong reputation for delivering high quality support, modern systems and a collaborative environment where individuals are encouraged to develop and progress.

With continued growth, the business is now looking to appoint a Compliance Support Supervisor to provide technical compliance support to member firms and assist with wider proposition initiatives.

The Role

Working as part of the compliance support function, you will support firms with the development, implementation and ongoing review of Centralised Investment Propositions.

This will include helping firms with CIP documentation, supporting the development of network CIP frameworks and contributing to wider investment proposition projects.

You will also act as a point of contact for technical compliance questions from member firms, helping to provide practical and clear guidance across a range of recurring themes.

A key part of the role will involve working closely with senior compliance colleagues to identify emerging risks, recurring issues and areas where further guidance may be needed.

You will also contribute to the development and publication of guidance materials, templates and best practice resources for member firms.

This is a role that would suit someone who is technically strong, organised and confident communicating compliance guidance in a practical way.

Benefits

• Competitive salary
• Death in service cover
• Income protection
• Private medical cover and dental cover
• Online GP service and Employee Assistance Programme
• Employer pension scheme
• Hybrid working, 3 days in the office and 2 days at home
• Training and development provided

Desired Experience

• Strong understanding of financial advice compliance and regulatory expectations
• Good understanding of Consumer Duty requirements
• Experience supporting firms with technical compliance queries
• Strong written communication skills
• Organised and able to manage multiple firm queries at the same time
• Experience developing, supporting or reviewing Centralised Investment Propositions would be beneficial
• Knowledge of adviser platform or research tools such as Defaqto would be beneficial
• Experience within an IFA network, compliance consultancy or financial planning environment would be useful

Applying

If this role sounds of interest, please apply below and we will be in touch as soon as possible to discuss further.

Synonyms

Compliance consultant, compliance officer, compliance supervisor, technical compliance consultant, technical compliance support, investment proposition support, CIP specialist, financial planning compliance, IFA compliance, network compliance, financial services compliance