Compliance Supervisor
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