Compliance and Training Supervisor

4 weeks ago

Horsham, United Kingdom Interpersonnel UK Ltd Full time

**Compliance & Training Supervisor**

**Location - Horsham (Remote working)**

**Salary DOE - £50,000 - £55,000**

**Job description.**

Our client, an award-winning investment services organisation are recruiting for a qualified compliance and training supervisor to work at their Business Campus near Horsham - also remote working available.

They support their offices by using cutting edge software and hardware and their spacious campus facilities mean there's a great working environment for the team. With an on-site restaurant, coffee shop and gym, their campus has much to offer. And commuterscan relax on their dedicated regular shuttle bus to and from Horsham’s main line train station. They know that helping you balance personal and professional commitments is a big part of that, so they are open to flexible working.

**General responsibilities.**
- Keep up to date with regulatory and industry developments.
- Maintain a specified span of control of up to 40 Registered Individuals, managing and scheduling all aspects of oversight competently and within desired timescales.
- Monitor AR firms, coaching and mentoring approved persons both remotely and on-site, to ensure compliance with both regulatory rules and Network procedures.
- Liaise effectively with senior management in respect of regulatory and Network issues.
- Assist the Compliance Director in providing a timely response to requests for information from the FCA
- Assist in making all appropriate notifications to the FCA

**Compliance monitoring responsibilities.**
- Undertake appropriate file reviews, ensuring that the findings are accurately recorded and handled appropriately to mitigate associated risks.
- Undertake regular KPI reviews, ensuring that KPI data and management information in respect of AR firms is accurately recorded whilst identifying adverse trends/risks and reporting or handling them accordingly.
- Test approved persons according to scheme requirements in respect of product knowledge and appropriate selling practices and provide relevant feedback and training where necessary.
- Test and supervise new joiners to AR firms, ensuring that supervision and formal sign-off procedures are applied as appropriate.

**The knowledge, experience, and qualifications you need.**

Minimum of level 4 Diploma in regulated financial planning (or equivalent), with significant progress towards the achievement of further qualifications desired.

Ability to train and motivate others whilst remaining flexible/adaptable.

Highly developed analytical, observational and communication skills

**The knowledge, experience and qualifications that will help.**
- L6 Advanced Diploma working towards Chartered Status
- J07 Supervision in a Regulated Environment

**Specialist qualifications**:

- Equity Release/lifetime mortgages - ER1 & HR1 or equivalent.
- Occupational pensions - Combination of J04, J05 & AF3 or equivalent.
- Long Term Care - CF8
- Mortgages - CeMAP/MAQ/CF6
- Single share-based investments - L4 diploma + IMC or securities gap fill
- Significant compliance experience within the financial services, preferably in an investment or insurance environment. An in-depth understanding of FCA/PRA regulatory expectations.
- Experience working within a network of Financial Advisers

**What you'll be like.**
- Promoter of the Treating Customers Fairly principles and deliver your own responsibility for the duty of care to our clients.

We're looking for the best, whoever they are, the company is an equal opportunities employer. You're welcome here whatever your socio-economic background, race, sex, gender identity, sexual orientation, religious belief, age, or disability.

Interpersonnel is an equal opportunities employer. All our current vacancies are on our website

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