Capricorn Financial Consultancy
Compliance Supervisor
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Compliance Supervisor
Mortgage & Protection | Hammersmith / Mayfair, London | Up to £46,000
WHY JOIN CAPRICORN?
- A visible, influential seat at the table – shape compliance standards within a fast-growing mortgage and protection business
- Genuine career progression, with support towards professional qualifications (e.g. CeMAP, Level 4 Diploma, J07)
- Work alongside a high-performing, entrepreneurial network of self-employed advisers who value your input
- Strong, collaborative culture built on accountability and great customer outcomes – not box-ticking
- 8% NEST pension (3% employer / 5% employee) and genuine investment in your development
About Capricorn
Capricorn is a fast-growing, London-based mortgage and protection advisory business supporting a high-performing network of self-employed advisers.
We are ambitious, entrepreneurial and commercially focused, with a strong culture of accountability, collaboration and positive customer outcomes. Compliance is central to how we develop advisers, deliver good advice and grow sustainably.
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The Opportunity
We are looking for an experienced Compliance Supervisor with a strong background in mortgage and/or protection compliance – this is essential to the role and heavily preferred for all applicants.
This is a hands-on role combining adviser supervision, file reviews, coaching and regulatory support. You will work closely with advisers, Team Leaders, the Compliance Director and senior leadership to identify risks early and maintain high standards.
About You
You will be confident, credible and solutions-focused, balancing robust oversight with practical adviser support.
You will have:
- Experience in a mortgage or protection compliance, supervision or file-review role – strongly preferred
- Strong knowledge of FCA mortgage regulation
- Experience reviewing mortgage advice and suitability
- Knowledge of protection advice, Consumer Duty and Training and Competence requirements
- The confidence to coach, influence and challenge advisers
- Strong organisation and attention to detail
- CeMAP or an equivalent mortgage qualification
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Desirable
- Experience supervising self-employed advisers
- Experience within an Appointed Representative network
- Level 4 Diploma or J07 qualification
This is a visible and influential role for someone who wants to help shape compliance standards within an ambitious, growing mortgage and protection business. If you have mortgage or protection compliance experience and are ready for your next challenge, we would love to hear from you.
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