Training & Compliance Supervisor

Training & Compliance Supervisor – Join a Leading Financial Services Firm

Are you a compliance professional with a passion for training, regulation, and ensuring best practices within financial services? Do you want to play a vital role in maintaining high compliance standards in a growing, well-respected Wealth Management IFA firm?

We’re looking for a Training & Compliance Supervisor to help drive regulatory adherence, training excellence, and risk management across the business.

Why Join Us?

• Key Role in Compliance & Training: You’ll ensure the business maintains high regulatory and compliance standards while delivering effective training programs
• Collaborative, Supportive Team: Work closely with the Head of Compliance, supporting all business areas with compliance-related matters
• Career Growth & Development: Gain exposure to policy-making, regulatory audits, training delivery, and risk management, setting you up for long-term success
• Dynamic & Evolving Role: From conducting internal audits to overseeing training programs, no two days are the same!

Your Role

• Compliance Support: Assist in developing processes and procedures to ensure the business is prepared for regulatory changes and challenges
• Training & Competency (T&C): Support adherence to the FCA’s and internal T&C schemes, ensuring employees are competent, safe, and compliant in their roles
• Risk & Policy Management: Draft and update training & compliance policies, ensuring adherence to FCA regulations and internal standards
• Training Delivery: Oversee new starter training, ensuring Advisers and employees are competent and confident in their roles
• Auditing & Monitoring: Conduct regular internal reviews and audits to ensure compliance procedures are being followed
• Regulatory Reporting: Provide management information and compliance insights to senior leadership, ensuring timely responses to FCA requests
• Recruitment & Onboarding Compliance: Work with HR and Operations to ensure that recruitment, approvals, and certifications align with regulatory requirements
• Complaints & Financial Promotions: Assist in managing complaints handling, compliance reporting, and ensuring adherence to financial promotion policies

Who We’re Looking For

• Compliance and training background
• Experience in financial services compliance, training, or risk management
• Knowledge of FCA Regulations: Understanding of Training & Competence (T&C), Consumer Duty, and compliance monitoring
• Strong Communicator & Influencer: Ability to challenge business decisions, provide clear compliance guidance, and train employees effectively
• Analytical & Detail-Oriented: Comfortable reviewing regulatory information, conducting audits, and maintaining accurate records
• Proactive & Solution-Focused: Someone who can identify risks, implement practical solutions, and continuously improve compliance processes