Kind Consultancy is working with a Mortgage & Protection network which is currently seeking a Compliance Supervisor to join them in a full time, permanent role paying circa £30,000 with a hybrid work model based in their East Midlands offices.

The Compliance Supervisor will proactively monitor network firms and advisers to identify any emerging risks and provide compliance guidance and support to staff and Appointed Representatives, with key responsibilities including:

• Conducting desk-based visits via Teams/Zoom which will include risk-based compliance monitoring to ensure that network members comply with the requirements of the FCA and network rules in respect of regulated mortgage and non-investment insurance business
• Agreeing actions and prepare reports for Firm Principals and advisers
• Acting asa  supervisor within the Training & Competence scheme and act as an ambassador for the use of relevant IT programs and systems
• Building strong relationships with key stakeholders, championing good customer outcomes.
• Providing advice and guidance to network members in response to enquiries received
• Ensuring all current and future regulatory requirements are adhered to with effective controls in place
• Ensuring appropriate standards and procedures are followed by authorised appointed representatives
• Assisting and guiding the Internal Compliance Review Officers regarding technical queries and challenges arising in the file review process
• Submitting management information regarding activity and any emerging risks to the appropriate RCM-TL, including periodic reports as required
• Attending regulatory and other training events as agreed with the RCM-TL
• Attending face to face interventions and investigations as required, on an exceptional basis

Our ideal candidate for the Compliance Supervisor opportunity:

• Is CeMAP qualified (essential) and CeRER qualified (desirable)
• Has a minimum 2 years of experience in a similar role within the financial services sector
• Comes from a sound background in compliance monitoring, risk management and reporting processes
• Has demonstrable supervisory skills
• Excellent verbal and written communication skills
• Is able to analyse information with a view to making informed decisions
• Is passionate in building excellent working relationships with both colleagues and our members to deliver the right outcomes for all parties
• Is a good team player, but with a definite ability to work under own initiative
• Displays good computer skills including Microsoft applications
• Demonstrates good knowledge of systems of control and is able to follow clearly defined procedures

If you have the necessary skills, knowledge, experience and qualifications and you're interested in the Compliance Supervisor opportunity, please apply with an updated CV today.