Financial Services Training & Compliance Supervisor - Horsham - up to £45,000 Our award-winning Financial Services client is looking for an experienced Compliance & Training Supervisor to join their expanding and progressive company. You will be responsible for - Keeping up to date with regulatory and industry developments Maintain a specified span of control of up to 40 registered individuals, managing and scheduling all aspects of oversight competently and within desired timescales Monitor AR firms, coaching and mentoring approved person both remotely and on-site, to ensure compliance with both regulatory rules and network procedures Liaise effectively with Senior Management in respect of regulatory rules and network issues Assist the Compliance Director in providing a timely response to requests for information from the FCS Assist in making all appropriate notifications to the FCA Apply a risk-based and common-sense approach to the compliance monitoring process Undertake appropriate file reviews, ensuring that the findings are accurately recorded and handled appropriately so as to mitigate associated risks Undertake regular KPI reviews, ensuring that KPI data and management information in respect of AR firms is accurately recorded whilst identifying adverse trends/risks and reporting or handling them accordingly Test approved persons according to scheme requirements in respect of product knowledge and appropriate selling practices, and provide relevant feedback and training where necessary Test and supervise new joiners to AR firms, ensuring that supervision and formal sign-off procedures are applied as appropriate Ensure that financial promotions for member firms are approved in accordance with the FCA rules, whilst aiding firms in interpreting and applying the regulatory guidelines on advertising Take on tasks and projects as delegated by the Compliance Director/Compliance Manager, applying a can-do attitude and a timely approach to work outside that of an individual span of control Experience Required Detailed knowledge of FCA rules and their interpretation/application Ability to train and motivate others whilst remaining flexible/adaptable Highly developed analytical, observational and communication skills Qualifications requirements Minimum of level 4 Diploma in regulated financial planning (or equivalent), with significant progress towards the achievement of further qualifications desired Significant compliance experience within the financial services, preferably in an investment or insurance environment. An in-depth understanding of FCA/PRA regulatory expectations. Experience working within a network of Financial Advisors For further information and a confidential chat please call Marion on