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For Companies At a Glance
- Tasks: Ensure compliance with FCA regulations and support investigations into breaches.
- Company: Join a respected financial advisory group known for its collaborative culture and high standards.
- Benefits: Enjoy 25 days holiday, hybrid working, private medical, and an on-site gym.
- Why this job: Make a real impact in a supportive environment that values professional growth and knowledge-sharing.
- Qualifications: 3+ years in compliance within an FCA-regulated firm; strong knowledge of FCA Handbook required.
- Other info: Quick application process with initial call and formal interview for shortlisted candidates.
The predicted salary is between 36000 - 60000 £ per year.
Job Description
Compliance Monitoring Coordinator
Cardiff
Hybrid working
If you have a strong compliance background 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.
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 Coordinator, you’ll be at the centre of ensuring the firm’s operations remain aligned with FCA requirements. Duties include:
- Monitor and interpret FCA publications, communications, and the FCA Handbook.
- Summarise regulatory developments for senior management, highlighting business impact.
- Draft and update internal compliance guidance and policies.
- Coordinate FCA data submissions and maintain accurate compliance records.
- Support and conduct investigations into complaints, breaches, or adviser conduct issues.
- Liaise across departments to ensure policy alignment with day-to-day operations.
This role would suit someone who thrives on problem-solving, investigation, and translating regulation into practical action.
About You
- At least 3 years’ experience in a compliance role within an FCA-regulated firm (preferably an advice firm).
- Strong knowledge of the FCA Handbook and confidence reading FCA publications.
- Experience drafting internal guidance or compliance policies.
- Ideally, experience in compliance monitoring, investigations, or complaints handling.
- Diploma qualification, adviser, or paraplanner background is an advantage but not essential.
The Benefits
- 25 days holiday bank holidays
- Hybrid working
- 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.
Synonyms
FCA Compliance Manager, Compliance Officer, Regulatory Compliance Specialist, Regulatory Affairs Coordinator, Governance Officer, Risk & Compliance Officer, Compliance Oversight Officer, Compliance Analyst, Regulatory Monitoring Officer
Regulatory Compliance Manager employer: Finlink Ltd
Contact Detail:
Finlink Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory Compliance Manager
✨Tip Number 1
Familiarise yourself with the latest FCA publications and updates. Being well-versed in current regulations will not only boost your confidence but also demonstrate your commitment to staying informed, which is crucial for a Compliance Monitoring Coordinator.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work in FCA-regulated firms. Engaging in conversations about compliance challenges and solutions can provide you with valuable insights and may even lead to referrals or recommendations.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully handled compliance issues in the past. Highlighting your problem-solving skills and ability to translate regulations into actionable policies will set you apart during interviews.
✨Tip Number 4
Showcase your ability to collaborate across departments. Since this role involves liaising with various teams, emphasising your teamwork skills and experience in aligning compliance with operational practices will be key to landing the job.
We think you need these skills to ace Regulatory Compliance Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your compliance experience, particularly within FCA-regulated firms. Emphasise your knowledge of the FCA Handbook and any relevant achievements in compliance monitoring or investigations.
Craft a Compelling Cover Letter: In your cover letter, explain why you are passionate about compliance and how your skills align with the role. Mention specific experiences that demonstrate your ability to interpret FCA publications and draft internal guidance.
Showcase Problem-Solving Skills: Provide examples in your application that illustrate your problem-solving abilities, especially in relation to compliance issues or investigations. This will show the company that you can translate regulations into practical actions.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors. A polished application reflects attention to detail, which is crucial for a role in compliance.
How to prepare for a job interview at Finlink Ltd
✨Know Your FCA Regulations
Make sure you have a solid understanding of the FCA Handbook and recent publications. Be prepared to discuss how these regulations impact the business and your previous experiences in compliance roles.
✨Showcase Your Problem-Solving Skills
This role requires a knack for investigation and problem-solving. Prepare examples from your past work where you've successfully navigated compliance issues or improved processes.
✨Highlight Your Communication Skills
As you'll be liaising across departments, it's crucial to demonstrate your ability to communicate complex regulatory information clearly. Think of instances where you've effectively summarised regulations for non-compliance staff.
✨Prepare Questions About the Company Culture
Since the company values collaboration and knowledge-sharing, come ready with questions that show your interest in their culture. This will also help you assess if it’s the right fit for you.
