Compliance Monitoring Supervisor
Cardiff based office
Hybrid working
If you have a 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
*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