Compliance Supervisor - Home Based

Our client, a highly successful and rapidly growing firm of independent financial advisers, is seeking an experienced Compliance Supervisor to join their dynamic team.

Job Overview:

As a Compliance Supervisor, you will play a crucial role in ensuring that all regulatory and compliance requirements are met, supporting the firm’s commitment to maintaining the highest standards of service and integrity.

Key Responsibilities:

• Manage Compliance Operations: Oversee day-to-day compliance activities to ensure the firm adheres to all relevant regulations and internal policies.
• Regulatory Liaison: Act as the primary point of contact for regulatory bodies, ensuring timely and accurate communication and reporting.
• Policy Development: Develop, implement, and review compliance policies and procedures to ensure they remain current with regulatory changes.
• Training and Support: Provide training and support to staff on compliance-related matters, promoting a culture of compliance within the organisation.
• Risk Management: Identify and assess compliance risks and develop strategies to mitigate these risks effectively.
• Compliance Monitoring: Conduct regular compliance monitoring and audits, reporting findings to senior management and recommending corrective actions where necessary.

Key Requirements:

• Proven Experience: Extensive experience in a compliance role within the financial services industry, preferably within a financial advisory firm.
• Regulatory Knowledge: In-depth knowledge of relevant regulations and compliance standards within the financial services sector.
• Attention to Detail: Strong analytical skills and attention to detail, with the ability to identify and address compliance issues promptly.
• Communication Skills: Excellent written and verbal communication skills, with the ability to effectively convey complex compliance information to diverse audiences.

Benefits:

• Competitive Salary: A highly competitive salary reflective of your experience and skills.
• Professional Development: Opportunities for continuous professional development and career progression within a growing firm.
• Supportive Environment: Work within a supportive and collaborative team environment committed to excellence and client satisfaction.
• Home based with occasaional travel to the office (once a fortnight)

If you are a compliance professional looking to take the next step in your career with a forward-thinking, successful firm, we would love to hear from you.