Compliance Supervisor- Exeter

RecruitukLtd Salary: £25K to £40K

Are you experienced in compliance and want to step up into a supervisory role?

This role is ideal for someone wanting to take the next stepping stone in their financial services career.

My Client is a leading Chartered Financial Planning and Accountancy Firm in the South West. They have enjoyed many year’s success and growth. They are actively seeking a proactive and motivated compliance professional to supervise the regulatory matters within the firm.

The compliance supervisor will work closely with the Compliance Director to ensure that regulatory obligations are met and to deal with any issues that may arise. You will be responsible for tasks, such as;

  • File assessments,
  • Pre-approving risks,
  • TCF principles,
  • Dealing with Complaints,
  • Staff training,
  • Money laundering procedures,
  • Monitoring compliance budget,
  • T&C schemes.

To be able to hit the ground running in this position, you will be expected to have a good knowledge of financial services and the market, with the level 4 financial qualification, have experience of formulating and establishing policy and be able to work and deliver to strict deadlines and have experience working in compliance.

On a personal level, you will be a strong communicator who acts with tact and diplomacy, have good analytical and numerical skills and be capable of working in a pressured environment.

My client will consider candidates located in Exeter, Taunton, Yeovil and surrounding areas.

Keywords: financial planning, financial services, compliance, T&C, bancassurance, monitoring, file checking, file review, complaint handling, AML, junior compliance, paraplanner, paraplanning, wealth management, investment, financial advisor, IFA

Please contact Keely Parsons at Recruit UK at keely.parsons@recruitukltd.co.uk or on 01179-170-414 and quote reference 2824, if this role if of interest to you.

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