Compliance Support Supervisor in Cardiff

Finlink Ltd; Cardiff; Hybrid; GBP 41,000 - 50,000; Full time

Benefits offered by this job

Competitive salary

Death in service

Income protection

Private medical

Dental cover

Online GP service

Employee Assistance Programme

Pension scheme

Hybrid work

Training and development

Job summary

Finlink Ltd. in Cardiff is seeking a Compliance Support Supervisor to advise financial services firms on compliant client propositions and charging models. The role is hybrid, with three days in office and two days at home.

You will review marketing materials and client communications, ensuring propositions are clear, compliant and commercially viable for advisory firms. The successful candidate will balance regulatory expectations with practical delivery.

Qualifications

• Strong understanding of financial advice compliance and regulatory expectations.
• Good understanding of Consumer Duty requirements.
• Experience supporting or reviewing advice propositions, charging structures or client facing communications.
• Ability to balance regulatory requirements with practical commercial outcomes.

Responsibilities

• Help firms structure and clearly communicate their advice offering and client propositions.
• Provide guidance on adviser charging structures, governance and client suitability considerations.
• Review how firms present services, fees and propositions to clients via websites and marketing materials.
• Act as a point of contact for proposition questions from existing members and onboarding chats.

Job description

Compliance Support Supervisor

Cardiff

Hybrid

Salary £45,000

This opportunity is ideal for an experienced financial services compliance professional who enjoys working closely with firms to help them structure, explain and maintain their client propositions in a compliant and commercially practical way.

The role would suit someone with a strong understanding of financial advice compliance, Consumer Duty and client facing communications, who can balance regulatory expectations with what works in practice for advisory firms.

The Business

We're working with a well established and growing financial services group that supports a network of financial advisers, mortgage brokers and support professionals across the UK.

The business has built a strong reputation for delivering high quality support, modern systems and a collaborative environment where individuals are encouraged to develop and progress.

With continued growth, the business is now looking to appoint a Client Proposition Supervisor to support firms with the development, maintenance and communication of their advice propositions.

The Role

Working as part of the compliance support function, you will play an important role in helping firms structure and clearly communicate their advice offering, charging models and client propositions.

A key part of the role will involve providing practical guidance to firms on advice propositions, adviser charging structures, governance and client suitability considerations. You will help firms ensure their proposition is clear, compliant and commercially workable.

You will also review how firms present their services, fees and propositions to clients, including through websites, client facing documents and marketing materials.

The role will involve acting as a point of contact for proposition related questions from existing members, as well as supporting early stage firm engagement and onboarding conversations where proposition guidance is required.

This is a role that would suit someone who is technically strong, commercially aware and confident communicating with financial advice firms in a practical and constructive way.

Benefits

• Competitive salary
• Death in service cover
• Income protection
• Private medical cover and dental cover
• Online GP service and Employee Assistance Programme
• Employer pension scheme
• Hybrid working, 3 days in the office and 2 days at home
• Training and development provided

Desired Experience

• Strong understanding of financial advice compliance and regulatory expectations
• Good understanding of Consumer Duty requirements
• Experience supporting or reviewing advice propositions, charging structures or client facing communications
• Ability to balance regulatory requirements with practical commercial outcomes
• Strong written communication skills
• Comfortable reviewing websites, marketing materials and client communications
• Organised and able to manage multiple firm queries at the same time
• Experience within an IFA network, compliance consultancy or financial planning environment would be beneficial
• Good understanding of financial services marketing compliance would also be beneficial

Synonyms

Compliance consultant, compliance officer, compliance supervisor, client proposition consultant, proposition supervisor, financial planning compliance, IFA compliance, network compliance, financial services compliance