JobTitle:ComplianceSupervisorIs this the next step in your career Find out if you are the right candidate by reading through the complete overview below.Location:HorshamOverview:AnestablishedfinancialservicesnetworkisseekingaComplianceSupervisortosupportregulatoryoversight,promoteastrongcomplianceculture,andhelpensurefirmsdelivergoodconsumeroutcomes.Theroleinvolvesauditwork,filereviews,technicalsupport,andregulatoryguidance.Responsibilities:Conductrisk-basedcomplianceauditsReviewclientfilesforsuitabilityandregulatoryadherenceApprovefinancialpromotionsandsupportfirmswithadvertisingstandardsProvidecomplianceandtechnicalsupporttoadvisersHandlecomplaintsfairlyandassistwithrootcauseanalysisConductduediligenceonprovidersandassistwithregulatoryprojectsActasakeycontactforfieldstaffandadvisersRequirements:StrongknowledgeofFCArules(COBS,SUP,DISP)ExperienceincompliancemonitoringandadvisersupportCompliancequalificationClearcommunication,strongjudgment,andaflexibleapproachidealCertificateinFinancialPlanning(CIIorequivalent),diplomapreferredorinprogressFinancialPromotions
Job Title
Compliance Supervisor