Compliance Supervisor

Compliance Supervisor

Location: Hammersmith, London (office-based 4 days per week)
Salary: Up to £46,000

Benefits

• 8% NEST pension (3% employer / 5% employee)
• Support with professional development

About Capricorn

Capricorn is a leading London-based mortgage and protection advisory firm operating an Appointed Representative model and soon launching a Directly Authorised arm.

We support a high-performing network of self-employed advisers through strong operational infrastructure, proportionate supervision and a culture focused on accountability, professionalism and positive customer outcomes. Compliance is seen as an enabler of good advice and sustainable growth.

The opportunity:

We are looking for a Compliance Supervisor to deliver day-to-day supervision, training and regulatory support to mortgage and protection advisers.

This is a first-line operational compliance role focused on coaching advisers, identifying risks early and supporting strong Consumer Duty outcomes while working closely with the Compliance Director and senior regulatory leadership.

The role:

• Conduct regular one-to-one supervisory reviews with advisers
• Provide coaching, feedback and regulatory guidance
• Support new advisers through the competency process
• Help existing advisers maintain competence and regulatory standards
• Produce clear supervision notes and compliance evidence
• Identify risks or trends and escalate where appropriate
• Act as a key point of contact for adviser compliance queries
• Build strong relationships with internal teams and network partners
• Maintain up-to-date regulatory knowledge through CPD
• Support compliance initiatives and business projects when required

About you:

• Strong communication and relationship-building skills
• Ability to coach and influence advisers
• Organised with strong attention to detail
• Professional, proactive and confident in challenging when needed
• Comfortable working independently and within a compliance team

Knowledge & Qualifications

• Good knowledge of FCA regulation within mortgage and protection advice
• Understanding of Training & Competence frameworks and Consumer Duty
• CeMAP (or equivalent) – essential

Desirable

• Diploma Level 4 qualification
• J07 – Supervision in a Regulated Environment
• Experience supporting or supervising advisers