Eden Scott
Compliance Supervisor
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Compliance Supervisor
Aberdeen | Competitive Salary + Benefits
Our client, a well-established and growing financial planning business, is seeking a Compliance Supervisor to join their team in Aberdeen.
This is an excellent opportunity for an experienced compliance professional or someone with a strong regulatory background from within financial advice, paraplanning, banking, operations management, practice management, risk, quality assurance, or training & competency who is looking to progress their career within compliance and risk oversight.
The successful candidate will play a key role in supporting the firm's compliance framework, ensuring regulatory obligations are met and helping deliver positive client outcomes.
Key Responsibilities
- Conduct file reviews and suitability checks to assess advice quality and regulatory compliance.
- Maintain compliance registers, monitoring logs, and accurate record keeping.
- Monitor changes in FCA regulations and industry developments.
- Support the ongoing enhancement of compliance and risk frameworks.
- Assist with risk assessments, controls testing, and governance activities.
- Support regulatory reporting and interactions where required.
- Investigate compliance issues, identify root causes, and help implement corrective actions.
- Assist with financial crime prevention activities, including AML, sanctions, and fraud controls.
- Provide practical compliance guidance to advisers and support staff.
- Review client communications and marketing materials.
- Produce clear and accurate management information and compliance reports for senior stakeholders.
- Support training and competency initiatives across the business.
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Candidate Profile
We are keen to speak with individuals who have gained experience within:
- Compliance or Risk
- Independent Financial Advice (IFA)
- Paraplanning
- Banking and Retail Financial Services
- Practice Management
- Operations Management
- Training & Competency
- Quality Assurance / File Reviewing
- Governance and Regulatory Oversight
Skills & Experience
Essential
- Experience working within the financial services sector.
- Good understanding of FCA regulatory requirements.
- Knowledge of Consumer Duty and SM&CR.
- Strong analytical and problem-solving skills.
- Excellent written and verbal communication skills.
- High levels of accuracy and attention to detail.
- Ability to build relationships and influence stakeholders across the business.
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Desirable
- Level 4 Diploma in Financial Planning (DipPFS) or equivalent.
- Previous experience within a compliance, risk, or governance function.
- Experience conducting file reviews and suitability assessments.
- Knowledge of pensions, investments, platforms, and protection products.
- Experience supporting adviser oversight, quality assurance, or training & competency frameworks.
Why Apply?
This role offers the opportunity to move into a broad compliance position with significant exposure to senior management and business-wide regulatory initiatives. It would particularly suit candidates looking to move from paraplanning, banking, operations, or training & competency into a dedicated compliance career path.
To discuss this opportunity in confidence, please get in touch.
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