Financial Services Compliance Supervisor

4 days ago


Colchester, United Kingdom Douglas Steers & Company Full time

Independent Financial Advisers and Wealth Management Services Company. **Ranked as one of the Top 100 Financial Advisers in the country with the FT Adviser Top 100 in 2020 & 2021**. This is an exciting opportunity to join our firm as the business rapidly expands.

We are looking for an experienced Training & Compliance Supervisor to join our growing team.

The role will include:

- File review checks on Pensions, Investments & Protection (non-investment insurance)
- Adviser One to One Assesment meetings
- Assessing & Providing the regulatory and product training requirements of all staff members where applicable.
- Assessing initial and ongoing adviser competency in line with the annual certification requirements.
- Conducting annual Fitness & Propriety Assessments in respect of all Senior Managers and Certification staff.
- Ensuring policies, risk assessments and procedures are up to date in line with our Systems & Controls requirements.

Skills Required:

- Strong communication skills, both written and verbal
- Critical thinking, the ability to think objectively and demonstrate sound judgement
- Attention to detail
- Previous experience gained within an IFA.

**Salary**: From £30,000.00 per year

Schedule:

- Monday to Friday

Work Location: One location



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