Compliance Operations Supervisor

Hybrid working

Cardiff

The role is suited to someone with 2+ years’ experience within the financial advice sector, as an IFA Administrator or within compliance. Ideally this will be an organised individual who will work with Financial Advisors within member firms to identify the required compliance framework and ensure it is followed through planning and clear conversation. Excel experience preferred.

The Company

The company are an FCA-regulated, growing IFA Network. They are a robust, institutionally backed group, with a diverse, supportive, and highly experienced team. They have been in existence for over 20 years and are currently embarking on an exciting growth programme. There will be progression opportunities within the department.

The Role

Within the role you will be supporting the compliance team, liaising with member firm financial advisors, ensuring all compliance frameworks are met in sufficient time.

Within the role, these tasks include creating reports to supervise the member firms, collating and presenting all information required by management, regulators and PI Insurers. Ensuring compliance tools have been used and it’s been reflected on the CRM. Monitoring social media, publications, documentation, member profiles and websites to ensure its within the guidelines for new and existing member firms.

The Benefits

• Hybrid working.
• 25 days Holiday + Bank Holidays
• Pension scheme
• Death in service available after probation period
• Sick Pay
• Income Protection
• New, modern office with onsite gym

If you think this is of interest to you, we encourage you to take the next step and apply. The process is straightforward - simply submit your CV along with your basic contact information.

Synonyms

Client support, Client delivery administrator, Financial Planning Assistant, Financial Administrator, Compliance administrator, Compliance