Compliance & Adviser Supervision Specialist
Are you a Compliance professional with a Level 4 Diploma, looking for a dynamic role in the Financial Services sector? Do you thrive in adviser supervision and regulatory compliance while supporting a best-in-class Wealth Management firm? If so, this opportunity could be ideal for you!
Salary up to £65,000 (Hybrid Working Available)
Why Apply?
A leading Wealth Management firm is seeking a Compliance & Adviser Supervision Specialist to play a key role in ensuring financial advisers meet regulatory and ethical standards. This role offers a hybrid-working model, competitive salary, and a chance to contribute to a high-performing compliance function.
Key Responsibilities:
- Lead on the supervision of financial advisers, conducting regular competency assessments, risk reviews, and one-to-one meetings.
- Perform observed visits (virtual and in-person) to assess suitability of advice and identify development areas.
- Support advisers with professional development, CPD tracking, and ensure valid Statement of Professional Standing (SPS) renewals.
- Conduct Fit & Proper assessments and annual certifications for advisers, amending authorisation where necessary.
- Provide compliance and regulatory guidance, acting as a key point of contact for advisers.
- Contribute to the ongoing development of the T&C framework.
- Assist with T&C schemes and support regulatory projects.
Candidate Requirements:
- Level 4 Diploma in Financial Services (or equivalent qualification) – essential.
- Experience in adviser supervision, training & competence (T&C), or compliance within Financial Services.
- Strong knowledge of FCA regulations, compliance frameworks, and risk assessment.
- Ability to build trusted relationships and support advisers in meeting competency and regulatory requirements.
- Detail-oriented, with a keen eye for spotting compliance risks and areas for development.
- Strong communication skills and the ability to work effectively in a hybrid setting.
What’s on Offer?
- Hybrid working model – flexibility with office presence in Farringdon, London.
- Competitive salary based on experience.
- Discretionary bonus & full benefits package.
- Career development opportunities within a leading Wealth Management firm.
- A supportive and professional environment that fosters growth and excellence.
- Reasonable adjustments will be accommodated throughout the recruitment process.
Take the next step in your compliance career and apply today!