Compliance Supervisor

Job description

Compliance Supervisor (First Line)

Hammersmith, London | Office-based (4 days per week)

A well-established London-based mortgage and protection advisory firm is looking for a Compliance Supervisor to join its first-line compliance team.

This role supports a high-performing, predominantly self-employed adviser population within a structured Appointed Representative model. Compliance is seen as an enabler of good customer outcomes, with a strong focus on coaching, proportionate supervision and early risk identification.

The Role

• Deliver day-to-day first-line supervision and adviser reviews
• Coach and support advisers to maintain regulatory competence
• Support advisers through T&C and ongoing competency requirements
• Produce clear supervision notes and evidence
• Identify and escalate emerging risks and Consumer Duty considerations
• Act as a key point of contact for adviser compliance queries

About You

• Experience in compliance, T&C or regulatory support within financial services
• Good knowledge of FCA rules within mortgage and protection advice
• Confident communicating with and challenging advisers
• Organised, professional and proactive

Essentials

• CeMAP (or equivalent)
• IT literate
• Full UK driving licence

Desirable: Level 4 Diploma, J07, coaching or L&D qualification

Extra information

Status

Open

Education Level

Secondary School

Location

London Area

Type of Contract

Full-time jobs

Published at

01-03-2026

Profession type

Accountancy

Full UK/EU driving license preferred

No

Car Preferred

No

Must be eligible to work in the EU

No

Cover Letter Required

No

Languages

English