Compliance Supervisor (Field Based) Sussex, Hampshire, Surrey

West Sussex
£27500 - £35000 per annum + Car allowance £5250 + additional benefits
13 Feb 2018
13 Mar 2018
Sarah Nicholas
Contract Type
Full Time

Compliance Supervisor (Field based)
Location: Covering Sussex, Hampshire and Surrey
Salary: £27,500 - £35,000 + Car allowance of £5250.00 + benefit package
Hours: Full time

To apply for this role you must be a current passport holder and have a full UK driving licence

I have the great pleasure in supporting our highly reputable client in the recruitment of a Compliance Supervisor (Training and competence) to join their field based team covering the areas of Sussex, Hampshire and Surrey.

The role will require you to undertake regular visits to a number of appointed representatives firms, so please not that regular travel will be involved and occasional overnight stays.


* Training, evaluation, assessment and monitoring individual representatives of the organisation as well as Appointed representative firms.
* Responsible for the monitoring and assessment of the Appointed representative firms of the company ensuring all rules, policies, manuals, procedures are adhered to
* Regularly engage with individuals to review their performance in their role
* Implement personal development plans to ensure competency is maintained
* Provide training or coaching to improve skills and knowledge of individuals
* Assess individuals against identified KPI's and other company benchmarks
* Monitor on an ongoing basis the activities of an individual in relation to compliance
* Evaluate and validate the learning of the individual following any training and coaching
* Document all engagements with individual representatives
* Evaluate the effectiveness of the Appointed Representatives internal systems to ensure the supervision and monitoring of standard advice and sales
* Assess compliance, internal procedures of the Appointed representative in accordance to the company's policies
* Build and establish strong working relationships with colleagues and external customers
* Attend meetings at Head Office as required

The right candidate for the role must have the following skills and qualifications to apply:

* Holder of a recognised supervisory qualification such as CII H15/J07 or equivalent
* FPC and CeMAP or equivalent and ideally have Level 4 Diploma or working towards it
* Proven coaching, training and assessment skills within financial services
* Highly organised and an effective communicator
* Familiarity with disclosure
* Full UK driving licence
* Personable and have the ability to influence

This is a fantastic opportunity to join a forward thinking and highly professional organisation, for more information on this position please contact Sarah Nicholas on 01273 947810 or apply today!

Pier Recruitment does not discriminate on the grounds of 'protected characteristics' as defined under the Equality Act and other relevant UK legislation.

Pier Recruitment acts as a Recruitment Agency in relation to all Permanent roles and as a Recruitment Business in relation to all Temporary roles.

If your application is successful a consultant will be in contact with you within the next 2 working days. If you do not hear within 7 days please call the office as we always wish to provide 100% customer service.