Compliance Supervisor

Location: Hammersmith, London (office-based 4 days per week)
Salary: Up to £46,000

Benefits

8% NEST pension (3% employer / 5% employee)
Support with professional development
About Capricorn

Capricorn is a leading London-based mortgage and protection advisory firm operating an Appointed Representative model and soon launching a Directly Authorised arm.

We support a high-performing network of self-employed advisers through strong operational infrastructure, proportionate supervision and a culture focused on accountability, professionalism and positive customer outcomes. Compliance is seen as an enabler of good advice and sustainable growth.

The opportunity:

We are looking for a Compliance Supervisor to deliver day-to-day supervision, training and regulatory support to mortgage and protection advisers.

This is a first-line operational compliance role focused on coaching advisers, identifying risks early and supporting strong Consumer Duty outcomes while working closely with the Compliance Director and senior regulatory leadership.

The role:

Conduct regular one-to-one supervisory reviews with advisers
Provide coaching, feedback and regulatory guidance
Support new advisers through the competency process
Help existing advisers maintain competence and regulatory standards
Produce clear supervision notes and compliance evidence
Identify risks or trends and escalate where appropriate
Act as a key point of contact for adviser compliance queries
Build strong relationships with internal teams and network partners
Maintain up-to-date regulatory knowledge through CPD
Support compliance initiatives and business projects when required
About you:

Strong communication and relationship-building skills
Ability to coach and influence advisers
Organised with strong attention to detail
Professional, proactive and confident in challenging when needed
Comfortable working independently and within a compliance team
Knowledge & Qualifications

Good knowledge of FCA regulation within mortgage and protection advice
Understanding of Training & Competence frameworks and Consumer Duty
CeMAP (or equivalent) - essential
Desirable

Diploma Level 4 qualification
J07 - Supervision in a Regulated Environment
Experience supporting or supervising advisers