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