Job description
Compliance Supervisor
Location: Hammersmith, London (office-based 4 days per week)
Salary: Up to £46,000
Benefits
- 8% NEST pension (3% employer / 5% employee)
- Support with professional development
About Capricorn
Capricorn is a leading London-based mortgage and protection advisory firm operating an Appointed Representative model and soon launching a Directly Authorised arm.
We support a high-performing network of self-employed advisers through strong operational infrastructure, proportionate supervision and a culture focused on accountability, professionalism and positive customer outcomes. Compliance is seen as an enabler of good advice and sustainable growth.
The opportunity:
We are looking for a Compliance Supervisor to deliver day-to-day supervision, training and regulatory support to mortgage and protection advisers.
This is a first-line operational compliance role focused on coaching advisers, identifying risks early and supporting strong Consumer Duty outcomes while working closely with the Compliance Director and senior regulatory leadership.
The role:
- Conduct regular one-to-one supervisory reviews with advisers
- Provide coaching, feedback and regulatory guidance
- Support new advisers through the competency process
- Help existing advisers maintain competence and regulatory standards
- Produce clear supervision notes and compliance evidence
- Identify risks or trends and escalate where appropriate
- Act as a key point of contact for adviser compliance queries
- Build strong relationships with internal teams and network partners
- Maintain up-to-date regulatory knowledge through CPD
- Support compliance initiatives and business projects when required
About you:
- Strong communication and relationship-building skills
- Ability to coach and influence advisers
- Organised with strong attention to detail
- Professional, proactive and confident in challenging when needed
- Comfortable working independently and within a compliance team
Knowledge & Qualifications
- Good knowledge of FCA regulation within mortgage and protection advice
- Understanding of Training & Competence frameworks and Consumer Duty
- CeMAP (or equivalent) – essential
Desirable
- Diploma Level 4 qualification
- J07 – Supervision in a Regulated Environment
- Experience supporting or supervising advisers
Extra information
- Status
- Closed
- Education Level
- Secondary School
- Location
- Hammersmith
- Type of Contract
- Full-time jobs
- 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
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