Compliance Supervisor

COMPLIANCE SUPERVISOR

Aberdeen | Competitive Salary + Benefits

Our client, a well-established and growing financial planning business, is seeking a Compliance Supervisor to join their team in Aberdeen.

This is an excellent opportunity for an experienced compliance professional or someone with a strong regulatory background from within financial advice, paraplanning, banking, operations management, practice management, risk, quality assurance, or training & competency who is looking to progress their career within compliance and risk oversight.

The successful candidate will play a key role in supporting the firm's compliance framework, ensuring regulatory obligations are met and helping deliver positive client outcomes.

Key Responsibilities

• Conduct file reviews and suitability checks to assess advice quality and regulatory compliance.
• Maintain compliance registers, monitoring logs and accurate record keeping.
• Monitor changes in FCA regulations and industry developments.
• Support the ongoing enhancement of compliance and risk frameworks.
• Assist with risk assessments, controls testing and governance activities.
• Support regulatory reporting and interactions where required.
• Investigate compliance issues, identify root causes and help implement corrective actions.
• Assist with financial crime prevention activities, including AML, sanctions and fraud controls.
• Provide practical compliance guidance to advisers and support staff.
• Review client communications and marketing materials.
• Produce clear and accurate management information and compliance reports for senior stakeholders.
• Support training and competency initiatives across the business.

Candidate Profile

We are keen to speak with individuals who have gained experience within:

• Compliance or Risk
• Independent Financial Advice (IFA)
• Paraplanning
• Banking and Retail Financial Services
• Practice Management
• Operations Management
• Training & Competency
• Quality Assurance / File Reviewing
• Governance and Regulatory Oversight

Skills & Experience

Essential

• Experience working within the financial services sector.
• Good understanding of FCA regulatory requirements.
• Knowledge of Consumer Duty and SM&CR.
• Strong analytical and problem-solving skills.
• Excellent written and verbal communication skills.
• High levels of accuracy and attention to detail.
• Ability to build relationships and influence stakeholders across the business.

Desirable

• Level 4 Diploma in Financial Planning (DipPFS) or equivalent.
• Previous experience within a compliance, risk or governance function.
• Experience conducting file reviews and suitability assessments.
• Knowledge of pensions, investments, platforms and protection products.
• Experience supporting adviser oversight, quality assurance or training & competency frameworks.

Why Apply?

This role offers the opportunity to move into a broad compliance position with significant exposure to senior management and business-wide regulatory initiatives. It would particularly suit candidates looking to move from paraplanning, banking, operations or training & competency into a dedicated compliance career path.

To discuss this opportunity in confidence, please get in touch.