Compliance Supervisor- Exeter
Salary
25K to 40K
Location
Job Type
Full Time
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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.