Compliance Supervisor

Compliance Supervisor (First Line)

Hammersmith, London Office-based (4 days per week)

A well-established London-based mortgage and protection advisory firm is looking for a Compliance Supervisor to join its first-line compliance team.

This role supports a high-performing, predominantly self-employed adviser population within a structured Appointed Representative model. Compliance is seen as an enabler of good customer outcomes, with a strong focus on coaching, proportionate supervision and early risk identification.

The Role

• Deliver day-to-day first-line supervision and adviser reviews
• Coach and support advisers to maintain regulatory competence
• Support advisers through T&C and ongoing competency requirements
• Produce clear supervision notes and evidence
• Identify and escalate emerging risks and Consumer Duty considerations
• Act as a key point of contact for adviser compliance queries

About You

• Experience in compliance, T&C or regulatory support within financial services
• Good knowledge of FCA rules within mortgage and protection advice
• Confident communicating with and challenging advisers
• Organised, professional and proactive

Essentials

• CeMAP (or equivalent)
• IT literate
• Full UK driving licence
• Desirable: Level 4 Diploma, J07, coaching or L&D qualification

InterQuest Group is acting as an employment agency for this vacancy. InterQuest Group is an equal opportunities employer and we welcome applications from all suitably qualified persons regardless of age, disability, gender, religion/belief, race, marriage, civil partnership, pregnancy, maternity, sex or sexual orientation. Please make us aware if you require any reasonable adjustments throughout the recruitment process.