Compliance Supervisor

We’re recruiting on behalf of a financial services firm looking for a Compliance Supervisor to ensure regulatory requirements and internal policies are met while driving continuous improvement. If you have strong auditing skills, experience providing structured feedback, and a proactive approach to compliance, this could be the perfect role for you.

The Role:

• Conduct regular audits of individual and team performance, providing structured feedback to ensure adherence to policies and best practices.
• Identify gaps or inefficiencies in compliance processes and recommend practical enhancements.
• Develop, update, and maintain compliance records, policies, and process documentation to ensure clarity and consistency.
• Monitor compliance with industry regulations and internal policies, identifying risks and implementing corrective measures.
• Assess potential compliance breaches, investigate root causes, and track resolutions effectively.

What We’re Looking For:

• Experience in compliance auditing and providing feedback within financial services.
• Strong ability to drive process improvements and ensure compliance best practices.
• Excellent documentation skills, with experience in process mapping and compliance record-keeping.
•  Analytical mindset with a high level of attention to detail.
• Strong knowledge of financial services regulations, risk assessment, and policy enforcement.

The ideal candidate will have a proven track record in auditing and providing feedback, driving process improvements, and producing process documentation.

If you’re looking for your next step in compliance within financial services, we’d love to hear from you. Apply today!