Compliance Supervisor

Compliance Supervisor

Location: Hammersmith and Mayfair, London

Working pattern: Full time - Office-based (4 days per week)

Salary: Up to -46,000

Benefits

• 8% NEST pension: 3% employer and 5% employee
• Support with professional development and qualifications

About Capricorn

Capricorn is a fast-growing, London-based mortgage and protection advisory business supporting a high-performing network of self-employed advisers.

We are ambitious, entrepreneurial and commercially focused, with a strong culture of accountability, collaboration and positive customer outcomes. Compliance is central to how we develop advisers, deliver good advice and grow sustainably.

The opportunity

We are looking for an experienced Compliance Supervisor with a strong background in mortgage compliance.

This is a hands-on role combining adviser supervision, file reviews, coaching and regulatory support. You will work closely with advisers, Team Leaders, the Compliance Director and senior leadership to identify risks early and maintain high standards.

The role

• Conduct one-to-one adviser supervision reviews
• Review mortgage and protection cases and audit client meetings
• Provide practical coaching, feedback and regulatory guidance
• Support new advisers through the competency process
• Help existing advisers maintain competence
• Identify trends, risks and development needs
• Produce clear supervision records and action plans
• Escalate concerns and monitor remedial actions
• Support Consumer Duty and wider compliance projects

About you

You will be confident, credible and solutions-focused, balancing robust oversight with practical adviser support.

You will have:

• Experience in a mortgage compliance, supervision or file-review role
• Strong knowledge of FCA mortgage regulation
• Experience reviewing mortgage advice and suitability
• Knowledge of protection advice, Consumer Duty and Training and Competence requirements
• The confidence to coach, influence and challenge advisers
• Strong organisation and attention to detail
• CeMAP or an equivalent mortgage qualification

Desirable

• Experience supervising self-employed advisers
• Experience within an Appointed Representative network
• Level 4 Diploma or J07 qualification

This is a visible and influential role for someone who wants to help shape compliance standards within an ambitious, growing mortgage business.