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Compliance & Training Supervisor


Compliance & Training Supervisor


This is an exiting opportunity for a Level 4 to join an market leader in Chartered Financial Planning.

A great opportunity for a Level 4 in regulated financial planning candidate to help drive the business forward with keeping up to date with regulatory and industry developments whilst maintaining a specified span of control of up to 40 registered individuals, managing and scheduling all aspects of oversight competently and within desired timescales. Looking from the Compliance side you would have to undertake appropriate file reviews, KPI reviews and test approved persons according to scheme requirements, this is just a part of an extensive role.

The successful candidate will have Level 4 Diploma in Financial Planning and extensive experience within Financial Services, preferably in an investment or insurance environment. An in-depth understanding of FCA/PRA regulatory expectations. Also you should have experience working within a network of financial advisors.

With a solid footing within the financial planning industry, this company offers fantastic benefits and a company ethic that is rarely challenged. You will benefit from working within a team focused business in a very calm yet highly professional working environment. The varied role will also provide challenge and personal development opportunity.

Please quote 25445 when calling Alexander Lloyd on 01293 572900 and ask for our Compliance division. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc. across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.

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