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Compliance Supervisor

  • Newbury
  • Permanent
  • £35,000 - £50,000 + Bonus & Benefits

Job details.

Our client, a highly successful and rapidly growing firm of independent financial advisers, is seeking an experienced Compliance Supervisor to join their dynamic team.

Job Overview:

As a Compliance Supervisor, you will play a crucial role in ensuring that all regulatory and compliance requirements are met, supporting the firm’s commitment to maintaining the highest standards of service and integrity.

Key Responsibilities:

  • Manage Compliance Operations: Oversee day-to-day compliance activities to ensure the firm adheres to all relevant regulations and internal policies.
  • Regulatory Liaison: Act as the primary point of contact for regulatory bodies, ensuring timely and accurate communication and reporting.
  • Policy Development: Develop, implement, and review compliance policies and procedures to ensure they remain current with regulatory changes.
  • Training and Support: Provide training and support to staff on compliance-related matters, promoting a culture of compliance within the organisation.
  • Risk Management: Identify and assess compliance risks and develop strategies to mitigate these risks effectively.
  • Compliance Monitoring: Conduct regular compliance monitoring and audits, reporting findings to senior management and recommending corrective actions where necessary.

Key Requirements:

  • Proven Experience: Extensive experience in a compliance role within the financial services industry, preferably within a financial advisory firm.
  • Regulatory Knowledge: In-depth knowledge of relevant regulations and compliance standards within the financial services sector.
  • Attention to Detail: Strong analytical skills and attention to detail, with the ability to identify and address compliance issues promptly.
  • Communication Skills: Excellent written and verbal communication skills, with the ability to effectively convey complex compliance information to diverse audiences.


  • Competitive Salary: A highly competitive salary reflective of your experience and skills.
  • Professional Development: Opportunities for continuous professional development and career progression within a growing firm.
  • Supportive Environment: Work within a supportive and collaborative team environment committed to excellence and client satisfaction.

If you are a compliance professional looking to take the next step in your career with a forward-thinking, successful firm, we would love to hear from you.


  1. Financial Services
  2. Financial Planning
  3. Asset & Investment Management

Thomas Williams

Director - Financial Services

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