Compliance Supervisor
*Location: Horsham (with UK travel)
*Job Type: Full-time
*Salary: up to £40k
Reed Financial Services are looking for a dedicated Compliance Supervisor to join a Financial Services Compliance Department at the head office in Horsham. This role involves ensuring adherence to regulatory requirements and fostering a positive compliance culture across the organisation. The ideal candidate will be instrumental in helping firms deliver robust and repeatable best practices and in identifying and mitigating risk.
Day to Day of the Role:
*Apply a risk-based and common-sense approach to the compliance monitoring programme.
*Conduct focused audit visits of individuals and firms where there is evidence of risk to the company arising from their activities, either on-site around the UK or remotely from the Horsham office.
*Review client files to confirm suitability, good consumer outcomes, and adherence to regulatory and company requirements, identifying and requiring remedial action from member firms where necessary.
*Undertake due diligence on product providers and mortgage lenders following requests to be added to the Security List.
*Ensure that financial promotions are approved in accordance with FCA rules and aid firms in understanding and applying regulatory guidelines on advertising and social media.
*Provide technical support and product-specific support to advisers.
*Handle consumer complaints in a fair and unbiased manner, in accordance with regulatory requirements and in-house procedures, and document these effectively to allow root cause analysis to support the continued improvement of consumer outcomes for the company.
*Undertake project work as required by the Compliance Manager.
*Perform any role as required for the successful implementation of the Online Partnership Group Limited Compliance Plan.
Required Skills & Qualifications:
*Awareness of the rules and regulations of the FCA, particularly COBS, SUPP, and DISP, and other relevant bodies (e.g., JMLSG, FATF, ICO).
*Chartered Insurance Institute (CII) Certificate in Financial Planning or equivalent.
*Chartered Insurance Institute (CII) Diploma in Regulated Financial Planning or working towards.
*Working knowledge of a compliant sales process and disclosure requirements.
*Project workstream experience would be beneficial.
*Ability to work on own initiative as well as working effectively as part of a team.
*High standards of personal accountability.
*Willingness to undertake training and progress personal development.
*A confident individual possessing a sound systematic and methodical approach to work while under pressure is essential.
*The ability to communicate at all levels, in person and in all media types, sensitively and effectively.
*Customer-focused, understanding the views and needs of others.
To apply for the Compliance Supervisor position, please submit your CV and cover letter detailing your relevant experience and why you are interested in this role.