Compliance Supervisor

Compliance Supervisor

London

Do you thrive on helping advisers grow while raising advice standards across a business?

A long-established financial services firm is growing its oversight function and is looking for a confident, people-centred Compliance Supervisor to join the team. This is a great opportunity for someone who genuinely enjoys developing mortgage advisers, raising advice standards and championing consistently positive customer outcomes across the business.

The Role

You'll play a key part in the first line of defence, carrying out day-to-day supervision and supporting advisers across mortgage and protection advice. Your responsibilities will include:

• Leading structured 1:1 reviews with advisers to assess performance, competence and overall progress.
• Offering ongoing coaching, constructive feedback and tailored development support to help advisers grow.
• Supporting new starters as they navigate the full T&C framework and build their competence.
• Maintaining clear, accurate and compliant supervision notes, follow up actions and development plans.
• Identifying early signs of risk, conduct issues or emerging trends and escalating them in line with policy.
• Acting as a reliable go to contact for regulatory, compliance and best practice guidance.
• Developing strong, collaborative relationships with colleagues across the business and with external partners.
• Keeping knowledge current around FCA rules, Consumer Duty expectations and financial crime obligations.
• Contributing to business change initiatives, regulatory updates and wider internal projects.

The Candidate:

• Background in mortgage adviser supervision, T&C oversight or compliance within a mortgage or advice-driven setting.
• A confident communicator with a coaching-led approach and the ability to challenge in a constructive, supportive way.
• Calm, organised and detail-focused, with strong time management and a pragmatic approach to supervision.
• CeMAP-qualified (or equivalent) with a solid grasp of FCA regulation, Consumer Duty, AML/financial crime and the wider mortgage and protection landscape.
• Tech-savvy, adaptable and proactive, with strong IT capability and confidence handling data.

What's on Offer

• A basic salary of up to £45,000. (Negotiable for the right person).
• Benefits including a generous holiday allowance and contributory pension scheme
• On-going professional development including study for further qualifications.

Apply now

If you're ready to bring your supervision expertise to a respected, growing financial services firm, apply today or reach out for a confidential conversation

Equal Opportunities

Aspired Careers is committed to equal opportunities for all applicants. We welcome applications from every background and do not discriminate based on age, disability, gender identity, marital status, pregnancy, race, religion, sex or sexual orientation. We encourage a diverse and inclusive workforce where everyone feels valued, respected and able to thrive.

Compliance Supervisor, Mortgage Compliance, Protection Compliance, T&C, Training & Competence, Adviser Supervision, First Line Oversight, FCA, Consumer Duty, AML, Financial Crime, Mortgage Adviser Support, Protection Adviser Support, Competence Sign-Off, Regulatory Oversight, Risk Identification, Coaching, Quality Assurance.