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- Tasks: Ensure compliance with regulations and support onboarding of new firms in a dynamic environment.
- Company: Respected financial advisory group known for collaboration and professional growth.
- Benefits: 25 days holiday, hybrid working, pension scheme, private medical, and on-site gym.
- Why this job: Make a real impact in compliance while developing your skills in a supportive team.
- Qualifications: 2+ years experience in an FCA-regulated firm and strong attention to detail.
- Other info: Join a modern company that values knowledge-sharing and career advancement.
The predicted salary is between 36000 - 60000 £ per year.
Cardiff based office
Hybrid working
If you have 2+ years experience in an FCA-regulated advice firm and a sharp eye for detail, this role offers the chance to make a real impact. You’ll join a respected, independent financial services group where your expertise will directly shape how the business meets its regulatory obligations. Full support and training provided where required.
The Business
This is a well-established and respected financial advisory group that supports a nationwide network of advisers, brokers, and paraplanners. Known for their collaborative culture, modern approach, and high professional standards, they offer a supportive environment where knowledge-sharing and professional growth are encouraged.
The Role
As Compliance Monitoring Supervisor, you’ll be at the centre of onboarding new firms to the network, ensuring alignment with the network and FCA requirements. Duties include:
- Conduct thorough reviews of member profiles, activities and interactions to ensure full compliance with internal standards and regulatory requirements
- Produce insightful reports and compliance dashboards to support effective supervision and decision-making
- Compile and organise information for internal stakeholders, regulatory authorities and professional indemnity insurers in a timely manner
- Monitor member social media activity and published materials, identifying potential compliance issues and highlighting key risks
- Evaluate member-facing documentation and websites to ensure alignment with best practice, brand standards and regulatory expectations
- Work closely with financial advisers to enhance their understanding of compliance requirements and promote best practice across the network
- Develop, update and improve internal compliance guidance to reflect business developments and regulatory changes
- Play an active role in onboarding new members, ensuring they understand compliance expectations and are successfully integrated into ongoing monitoring procedures
The Benefits
25 days holiday + bank holidays
Pension scheme
Sick pay
Private medical
Life insurance
Income protection
On-site gym
How to Apply
Applying is quick and easy – submit your CV via the application link. Shortlisted candidates will be invited to an initial call, followed by a formal interview.
Compliance Monitoring Supervisor in Cardiff employer: Finlink Ltd
Contact Detail:
Finlink Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Supervisor in Cardiff
✨Tip Number 1
Network like a pro! Reach out to people in the industry, attend events, and connect on LinkedIn. We all know that sometimes it’s not just what you know, but who you know that can help you land that Compliance Monitoring Supervisor role.
✨Tip Number 2
Prepare for those interviews by brushing up on your knowledge of FCA regulations and compliance best practices. We recommend doing mock interviews with friends or using online resources to get comfortable discussing your experience and how it aligns with the job.
✨Tip Number 3
Showcase your attention to detail! During interviews, be ready to discuss specific examples of how you've ensured compliance in previous roles. We want to see that sharp eye for detail in action!
✨Tip Number 4
Don’t forget to apply through our website! It’s quick and easy, and we love seeing candidates who take the initiative. Plus, it gives us a chance to see your CV in the best light possible.
We think you need these skills to ace Compliance Monitoring Supervisor in Cardiff
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in FCA-regulated firms. We want to see how your skills align with the Compliance Monitoring Supervisor role, so don’t be shy about showcasing your relevant achievements!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance and how you can contribute to our team. Keep it concise but impactful – we love a good story!
Show Off Your Attention to Detail: As a Compliance Monitoring Supervisor, a sharp eye for detail is key. Make sure your application is free from typos and errors. We appreciate candidates who take the time to present their best selves!
Apply Through Our Website: We encourage you to apply directly through our website for a smoother process. It’s quick and easy, and ensures your application lands right where it needs to be. We can’t wait to hear from you!
How to prepare for a job interview at Finlink Ltd
✨Know Your Compliance Stuff
Make sure you brush up on FCA regulations and compliance standards relevant to the role. Being able to discuss specific regulations and how they apply to the business will show that you're not just familiar with the basics, but that you can really contribute to their compliance monitoring efforts.
✨Showcase Your Attention to Detail
As a Compliance Monitoring Supervisor, a sharp eye for detail is crucial. Prepare examples from your past experience where your attention to detail made a difference, whether it was catching a compliance issue or improving a process. This will demonstrate your capability in the role.
✨Prepare Insightful Questions
Think of questions that show your interest in the company’s compliance culture and practices. Ask about their current challenges in compliance monitoring or how they support new members in understanding compliance expectations. This shows you’re proactive and genuinely interested in contributing to their team.
✨Familiarise Yourself with Their Network
Research the financial advisory group and its network of advisers, brokers, and paraplanners. Understanding their operations and how compliance fits into their overall strategy will help you tailor your responses and demonstrate that you’re ready to hit the ground running.
