Compliance Support Supervisor - #2143725

Compliance Support Supervisor

Cardiff

Hybrid

Salary £45,000

This opportunity is ideal for an experienced financial services compliance professional who enjoys working closely with firms to help them structure, explain and maintain their client propositions in a compliant and commercially practical way.

The role would suit someone with a strong understanding of financial advice compliance, Consumer Duty and client facing communications, who can balance regulatory expectations with what works in practice for advisory firms.

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 Client Proposition Supervisor to support firms with the development, maintenance and communication of their advice propositions.

The Role

Working as part of the compliance support function, you will play an important role in helping firms structure and clearly communicate their advice offering, charging models and client propositions.

A key part of the role will involve providing practical guidance to firms on advice propositions, adviser charging structures, governance and client suitability considerations. You will help firms ensure their proposition is clear, compliant and commercially workable.

You will also review how firms present their services, fees and propositions to clients, including through websites, client facing documents and marketing materials.

The role will involve acting as a point of contact for proposition related questions from existing members, as well as supporting early stage firm engagement and onboarding conversations where proposition guidance is required.

This is a role that would suit someone who is technically strong, commercially aware and confident communicating with financial advice firms in a practical and constructive 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 or reviewing advice propositions, charging structures or client facing communications
• Ability to balance regulatory requirements with practical commercial outcomes
• Strong written communication skills
• Comfortable reviewing websites, marketing materials and client communications
• Organised and able to manage multiple firm queries at the same time
• Experience within an IFA network, compliance consultancy or financial planning environment would be beneficial
• Good understanding of financial services marketing compliance would also be beneficial

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, client proposition consultant, proposition supervisor, financial planning compliance, IFA compliance, network compliance, financial services compliance