Direct Equity Investment Compliance Supervisor
Posted Today by Julian Harris Adviser Networks
Negotiable
Undetermined
Remote
Ashford, England, United Kingdom
Summary: The Direct Equity Investment Compliance Supervisor role at Julian Harris Adviser Networks involves overseeing and assuring compliance standards for direct equity investments. The position requires an experienced compliance professional to review policies, conduct audits, and provide feedback to advisers and senior managers. The role is contract-based with a focus on remote working and flexible arrangements. Immediate availability is preferred for this position.
Key Responsibilities:
- Review and determine network-wide policies and procedures for direct equity investments.
- Review and audit current direct equity investment cases submitted by advisers.
- Conduct ongoing thematic and file reviews, identifying risks, trends, and control improvements.
- Provide clear, pragmatic feedback to advisers and Network Senior Managers.
- Ensure procedures remain aligned with FCA expectations and best practice.
- Support continuous improvement of governance, documentation, and audit trails.
Key Skills:
- Strong background in investment compliance, with exposure to direct equities.
- Relevant qualification in this area - minimum Level 4, preferably Level 6.
- Experience working with or within adviser networks, compliance consultancies, or FCA-regulated firms.
- Confident working on compliance frameworks from first principles.
- Comfortable operating independently in a contract/project-based role.
- Practical, proportionate approach to risk and regulation.
Salary (Rate): undetermined
City: Ashford
Country: United Kingdom
Working Arrangements: remote
IR35 Status: undetermined
Seniority Level: undetermined
Industry: Other
Direct Equity Investment Compliance Supervisor (Contract)
About Julian Harris Adviser Networks
Julian Harris Adviser Network is an adviser network supporting independent financial advisers across investments, pensions, mortgages and protection. We are growing our direct equity investment capability and are seeking an experienced compliance professional to help us build, oversee and assure robust network-level standards in this area.
The Role
We are looking for an experienced contract compliance specialist to work on our direct equity investment compliance framework.
Key Responsibilities
- Review and determine our network-wide policies and procedures for direct equity investments, in conjunction with our Head of Compliance.
- Review and audit current direct equity investment cases submitted by advisers
- Conduct ongoing thematic and file reviews, identifying risks, trends and control improvements
- Provide clear, pragmatic feedback to advisers and Network Senior Managers
- Ensure procedures remain aligned with FCA expectations and best practice
- Support continuous improvement of governance, documentation and audit trails
About You
Strong background in investment compliance, with exposure to direct equities
Relevant qualification in this area - minimum Level 4, preferably Level 6
Experience working with or within adviser networks, compliance consultancies or FCA-regulated firms
Confident working on compliance frameworks from first principles
Comfortable operating independently in a contract / project-based role
Practical, proportionate approach to risk and regulation
Engagement Details
Contract / consultancy basis
Flexible scope and duration (to be agreed)
Remote working with video meetings
Immediate or near-term start preferred
Interested? Please contact me directly for a confidential discussion.