Compliance Supervisor (Head Office)
QHSE Taskforce

About the job

Job Title: Compliance Supervisor (Head Office) Location: Horsham Salary: £29k-£34k per annum Full Time Immediate start available Our client based in Horsham is looking to recruit a Compliance Supervisor to support their head office to assist in embedding a positive compliance culture across the business and within its Networks, helping Firms deliver robust and repeatable best practices and to identify and mitigate risk. To be a point of contact for Member Firms and Field Compliance Supervisors of the company and offer compliance support to ensure their adherence to the rules, guidance and procedures in place which govern the activities of regulated individuals and firms, helping to ensure a positive outcome is achieved for consumers. Responsibilities To promote and work at all times towards company policy of delivery of client best interest outcomes. To ensure adherence at all times to the company suite of policy and procedures, with distinct regard and compliance with the Conflict of Interest Policy and Inducement and Incentive policy. To take responsibility for own performance and to identify personal development areas. To provide support to the Compliance Manager by conducting Focused Audits of the activities of individuals and firms where there is evidence of the Firm or Individual being of a risk to the Company arising from their activities. To conduct Induction, Monitoring, Investigation, Remedial and Exit Visits on Firms using pre-prepared check sheets and any special instructions or directions agreed by the Compliance Manager according to individual circumstances, and accurately recorded outcomes on the in-house systems. These visits may be on site around the UK or conducted remotely from the Horsham office. To review client files to confirm suitability and good consumer outcomes and adherence to regulatory and company requirements, and identify and require remedial action from members firms where necessary. To identify any breaches or misconduct by firms and individual and report any training/compliance failures to the Compliance Manager. To provide feedback and prepare action plans for firms and individuals following any audit and to complete a risk evaluation of each individual within the firm and an overall risk assessment of the firm based upon the findings of any audit. To provide guidance to firms and individuals in setting up and maintaining good business and compliance practices and procedures, to include review and approval of financial promotions and the provision of technical support. To provide feedback to other departments within the company and to take remedial action to ensure that satisfactory relationships are maintained between the Company and the individual or firm. To perform any role as required for the successful implementation of the company Compliance Plan. To handle consumer complaints in a fair and non-biased manner, in accordance with regulatory requirements and in-house procedures, and to document these effectively to allow root cause analysis to support the continued improvement of consumer outcomes for the Company. To undertake or lead project work where required by the Compliance Manager. To maintain continual professional development and skills. Requirements Qualifications and Experience: Working knowledge of the FCA Rules. Awareness of the rules and regulations of other relevant bodies (e.g. JMLSG, FATF, ICO). Working knowledge of the company Compliance Manual (training given). Progression towards Level 4 Diploma in Financial Planning. CII Financial Services Regulation and Ethics (R01) (desirable). Essential within 12 months of appointment Essential Practical Skills: Demonstrate sound analytical skills with high attention to detail. Demonstrate sound IT Skills, specifically Word Processing, Spreadsheets and Email. Demonstrate good report writing skills, including the use of plain English. Desirable Skills / Knowledge Working knowledge of the financial services industry, products and risks. Working knowledge of a Compliant Sales Process and Disclosure requirements. QCA Level 4, 6 or 6+ qualification. Benefits The client aspires to the training and development of its staff, which potentially could provide the opportunity for career progression. For more information, please contact Jamie Watson at Clearline Recruitment



Horsham, West Sussex,United Kingdom

Job Type



£29000.00 - £34000.00



Educational Level


Career Level



Company Name


Horsham, West Sussex,United Kingdom

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