Compliance Monitoring Supervisor

Finlink Ltd; Cardiff; Hybrid; GBP 40,000 - 60,000; Full time

Job summary

A respected financial advisory group in Cardiff is seeking a Compliance Monitoring Supervisor to ensure alignment with regulatory requirements. The role involves conducting compliance reviews and producing insightful reports. The ideal candidate has 2+ years of experience in an FCA-regulated environment and a keen attention to detail. The company offers hybrid working and strong support for professional growth.

Benefits

Full support and training provided

Qualifications

• Minimum of 2 years experience in an FCA-regulated advice firm.
• Experience in compliance monitoring and regulatory requirements.

Responsibilities

• Conduct thorough reviews of member profiles for compliance.
• Produce insightful reports to support supervision and decision-making.

Skills

Attention to detail

Compliance knowledge

Analytical skills

Job description

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 ...