Our client, a highly successful and rapidly growing firm of independent financial advisers, is seeking an experienced Compliance Supervisor to join their dynamic team.
Job Overview:
As a Compliance Supervisor, you will play a crucial role in ensuring that all regulatory and compliance requirements are met, supporting the firm's commitment to maintaining the highest standards of service and integrity.
Key Responsibilities:
- Manage Compliance Operations: Oversee day-to-day compliance activities to ensure the firm adheres to all relevant regulations and internal policies.
- Regulatory Liaison: Act as the primary point of contact for regulatory bodies, ensuring timely and accurate communication and reporting.
- Policy Development: Develop, implement, and review compliance policies and procedures to ensure they remain current with regulatory changes.
- Training and Support: Provide training and support to staff on compliance-related matters, promoting a culture of compliance within the organisation.
- Risk Management: Identify and assess compliance risks and develop strategies to mitigate these risks effectively.
- Compliance Monitoring: Conduct regular compliance monitoring and audits, reporting findings to senior management and recommending corrective actions where necessary.
Key Requirements:
- Proven Experience: Extensive experience in a compliance role within the financial services industry, preferably within a financial advisory firm.
- Regulatory Knowledge: In-depth knowledge of relevant regulations and compliance standards within the financial services sector.
- Attention to Detail: Strong analytical skills and attention to detail, with the ability to identify and address compliance issues promptly.
- Communication Skills: Excellent written and verbal communication skills, with the ability to effectively convey complex compliance information to diverse audiences.
Benefits:
- Competitive Salary: A highly competitive salary reflective of your experience and skills.
- Professional Development: Opportunities for continuous professional development and career progression within a growing firm.
- Supportive Environment: Work within a supportive and collaborative team environment committed to excellence and client satisfaction.
- Home based with occasaional travel to the office (once a fortnight)
If you are a compliance professional looking to take the next step in your career with a forward-thinking, successful firm, we would love to hear from you.