Risk and Compliance Supervisor

Location: Dorking, Surrey Salary: £43000 - £48000 per annum + Attractive benefit package
Sector: Financial Services Specialism:
Type: Permanent Contact: Anita Stewart

Risk and Compliance Supervisor needed for a leading global financial Services organisation based in Dorking who are looking to employ an experienced Risk and Compliance Supervisor to provide regulatory guidance and support the company.

The successful Risk and Compliance Supervisor will want to work for this client not just because it's a great opportunity but also because they will give you a wealth of benefits including:

Salary: Circa £45000 per annum, Car Allowance, 24 day's holiday, Pension Plan, Career Progression, Child care vouchers, Free Flu Jab, Cycle scheme, Life assurance. The company has a strong focus on corporate social responsivities and offer a flexible modern approach to encompass a good work life balance.

What the role entails:

Some of the main duties of the Risk and Compliance Supervisor will include:

  • To develop the T&C framework in line with business and regulatory requirements.
  • To provide oversight of new advisers, providing a clear path to competence that is in line with the Financial Conduct Authority TC requirements.
  • To provide an ongoing assessment of adviser competence in line with the TC requirements.
  • Deliver training to advisers as part of their induction and where development needs are identified.
  • To assess compliance with the TC framework through accompanied visits to customers.
  • Increase knowledge and awareness and develop strategies that lead to improvements in competency.
  • To support development of a compliant end to end customer journey, ensuring that all regulatory and customer requirements are defined and implemented.
  • Ensure that the management team is kept informed of all emerging risks.
  • Evaluate the effectiveness of all training delivered against the regulatory framework.

What you need to be the successful Risk and Compliance Supervisor:

In order to be the successful Risk and Compliance Supervisor and have a chance to gain such an exciting opportunity you will ideally need to have the following:

  • DipFA qualification preferred.
  • Previous experience in a sales environment - preferably within financial services.
  • An excellent understanding of the FCA TC requirements and compliance around non-advised disintermediated distribution.
  • A strong understanding and awareness of the UK financial conduct regulatory framework.
  • Competent knowledge of insurance and group risk protection products.
  • Current industry knowledge and completed CPD activity.
  • Experience of working in a Compliance environment.
  • Hold a Full UK driving license

This really is a fantastic opportunity for a Risk and Compliance Supervisor to progress their career. If you are interested please apply as soon as possible as this position will be filled quickly so don't miss out!

If you are interested in this opportunity please apply online or feel free to give Anita Stewart a call on 01342 330559.

This advert was posted by Gold Group - one of the UK's leading niche recruitment consultancies. We span a variety of specialist industries and are the recruitment company to help you find your next career opportunity. We pride ourselves on our commitment to candidates and stick to our ethos of finding the right role for the right person. Visit our website or get in touch today to discuss this role, find out what else we've got or just for a chat about the state of your industry. Services advertised by Gold Group are those of an Agency and/or an Employment Business. Please be aware that we receive a high volume of applications for every role advertised and regularly receive applications from candidates who exceed the job credentials. We will only contact you within the next 14 days if you are selected for interview. A copy of our privacy policy can be found here: Gold Group is an equal opportunity & diversity employer. A copy of our equal opportunity & diversity policy can be found here:

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