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Compliance Support Supervisor

Location: STOCKPORT, CHESHIRE Salary: 30000.00 - 36000.00 GBP Per Annum
Sector: Insurance Job Type: Permanent
Shift Type: N/A Applications: N/A
Posted: 9 months ago Reference: 3116536
This organisation is a focused business who puts the needs of their clients at the heart of everything they do. They strive to offer the very best service every step of the way and are keen to hire likeminded individuals to maintain their values.

Salary: up to £36,000 dependant on experience.

Duties Include:

• Provide high quality reviews of cases submitted for pre- or post-sale checking
• Provide accurate, helpful and clear feedback to advisers regarding the file reviews; obtain agreement to relevant remedial actions.
• Deal with technical queries from advisers.
• Chase outstanding information from advisers, where appropriate on a regular basis.
• Immediately report to the Compliance Support Manager any material breaches of the Regulator’s rules.
• Ensure accurate records are kept.
• At all times have regard for the prescribed turnaround times and Service Level Agreements.
• Identify adviser training needs and facilitate appropriate training, coaching & mentoring to ensure the standard of cases presented by advisers is of adequate quality.
• Assist the Compliance Support Manager with ensuring that standard operating procedures are compiled & maintained for Compliance Support.
• Assist the Compliance Support Manager with ensuring a robust T&C plan for Compliance Support is compiled & maintained.
• Maintain a personal Training Needs Analysis, Training and Competence/Development plan & CPD, which will involve attendance at regional meetings, internal and product provider courses and reading of internal newsletters and appropriate external publications and undertake examinations where required.
• Adhere to internal procedures as outlined in the standard operation procedures and Staff Handbook as it relates to, for example, the booking of holidays, courses and member visits and to ensure sufficient staffing cover is always maintained.
• Carry out any other duties that might reasonably be requested by the Compliance Support Manager and other senior managers.
• Undertake any regulatory reviews and other tasks including project work, where required, by management.
• Ensure that the consumer is considered at all times and that the principles of TCF are followed.
• Be prepared to accept the requirement for overnight stays where necessary to attend meetings etc.

An Ideal Candidate will have:

• Preferably to have knowledge and/or experience of operating within a regulated environment as a file reviewer, ideally within an IFA firm and over a 3 year period as a minimum.
• Ability to provide constructive feedback, both verbally and in writing, to advisers and colleagues.
• Working knowledge of learning styles and coaching techniques.
• Be able to review case files to a high standard and be assessed in such.
• Be able to commit to reviewing a minimum of 3 pre-sale case files or 6 post-sale case files per day (full files regardless of number of products recommended).
ting opportunity for an experienced Pensions Help Paraplanner to join an innovative leading Organisation in Wealth Management!


• A Level or equivalent.
• FPC/Certificate in Financial Planning (with previous file checking) essential.
• QCA Level 4 or a willingness to work towards the diploma is desirable.

If this sounds of interest, please contact Rebecca Hunt on 0161 833 2033 or by email on as soon as possible to be sure to not miss out on this opportunity.

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