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