Job Description

Role

We have an exciting opportunity to join our growing IFA and mortgage business based in Cardiff. As a Compliance Monitoring Executive, you will play a key role in ensuring the firm's adherence to regulatory requirements and internal standards.

This position involves conducting detailed reviews of mortgage and insurance files prepared by advisers, monitoring compliance activities, and supporting the wider compliance function. You will provide clear, actionable feedback to advisers, maintain accurate monitoring logs, and assist with reporting to management. The role also includes involvement in regulatory reporting, policy reviews, and supporting Consumer Duty obligations.

Key Responsibilities

completing file reviews to assess advice suitability verifying documentation accuracy reviewing call recordings for compliance maintain logs for gifts and hospitality, complaints, conduct rule breaches and data breaches.
Additional tasks include monitoring

vulnerable customer recognition KYC CPD completion ensuring compliance with financial promotions.

Skills

We are looking for candidates with strong analytical skills, excellent planning and organisational abilities, and high attention to detail. Clear written and verbal communication is essential. Experience in compliance or quality assurance monitoring is desirable but not mandatory. A CeMAP qualification is advantageous, and training will be provided if required.

Proficiency in MS Office (Word, Excel) is expected, and any experience with data analysis tools (SQL, Python), coding, or legal knowledge will be considered a plus.

Training & Development

Full training will be provided on all aspects of the role, including compliance monitoring, FCA regulations (MCOB, COBS, DISP, MiFID II), GDPR, and internal systems. Support for obtaining CeMAP and other relevant qualifications will be available.

Our Benefits

Quarterly Team & Social Events 24 days Annual Leave Christmas shutdown Free parking

Our Commitment

We are an inclusive employer committed to diversity and equal opportunity. We welcome applications from all qualified individuals and offer flexible working arrangements and family-friendly policies. If you require reasonable adjustments during the recruitment process, please let us know.

Pre-employment Checks

As an FCA regulated financial services organisation, all staff must demonstrate honesty, financial soundness, and competence. Pre-employment checks will include adverse credit and criminal record checks (DBS), along with standard checks for roles under the Senior Managers and Certification Regime.

Job Type: Full-time

Pay: 25,000.00-30,000.00 per year

Work Location: Hybrid remote in Cardiff CF14 5DX