Field Compliance Supervisor
Location: Hitchin, Hertfordshire (initially office?based, then predominantly remote)
Salary: Circa £35,000
Full?time | Financial Services / Mortgage Network
An established and growing financial services network is looking to appoint a Field Compliance Supervisor to support advisers and AR firms across the business.
This is an excellent opportunity for someone with CeMAP and solid financial services experience who is keen to move into a field?based / supervisory compliance role, combining adviser oversight with stakeholder engagement.
The Role
You will be responsible for overseeing adviser compliance, monitoring performance, identifying risk, and supporting advisers to maintain high regulatory standards. The role will be based initially in Hitchin, before becoming predominantly remote once embedded.
Key Responsibilities
- Regularly review adviser performance, including processes, KPIs and data, to identify potential risks or weaknesses
- Produce detailed compliance reports documenting adviser performance and findings
- Conduct adviser observations via site visits and virtual meetings
- Prepare in advance of visits and discuss findings directly with advisers
- Create, implement and monitor action plans following adviser reviews
- Attend monthly compliance meetings and report directly to management
- Keep up to date with changes to policies, procedures and regulatory requirements
- Act as a point of referral for adviser compliance queries and concerns
- Build strong, professional relationships with advisers to support best practice
- Contribute to the ongoing development and improvement of compliance reporting
- Complete observations for new advisers during induction
- Support wider compliance and operational requirements as needed
- Maintain standards under the firm’s Training & Competency scheme
What We’re Looking For
- CeMAP qualified (essential)
- Proven experience within financial services, ideally mortgages or adviser support
- Strong understanding of adviser processes, compliance requirements and risk
- Confident communicator, comfortable providing feedback and challenge
- Well organised, analytical and able to manage multiple priorities
- Willingness to travel for site visits as required
Previous experience in a compliance, supervision, audit or adviser support role would be advantageous, but is not essential.
What’s on Offer
- Salary circa £35,000
- Initial office?based support in Hitchin, moving to a largely remote role
- Opportunity to develop a long?term career within compliance and supervision
- Exposure to a wide range of advisers and business models
Apply Now
If you’re CeMAP qualified, have financial services experience, and are looking to step into a field?based compliance role with real responsibility and progression, we’d love to hear from you.
Apply now for confidential consideration.