Back to Search Results

Compliance Officer

  • Location:

    Cardiff, Wales

  • Sector:

    Financial Services

  • Job type:


  • Salary:

    £25000 - £35000 per annum

  • Contact:


  • Contact email:

  • Job ref:


  • Published:

    11 months ago

  • Expiry date:


  • Startdate:


Job Description

Brook Street are working with a leading IFA firm based in the Cardiff area who are looking for a Compliance Officer to come and join their team.

The ideal candidate will have at least 2 years' experience in a regulatory compliance, gained in either an IFA or mortgage brokerage environment. A candidate holding a CeMAP qualification would be beneficial and a candidate holding a Diploma in Regulated Financial Planning would be a significant advantage.

Job Description -

" Provision of regulatory advice in relation to existing and new regulation with a particular focus on GDPR, MiFID II, FSMA, MCOB, ICOBS, DISP;
" Board level conduct and compliance reporting;
" Design of a risk-based compliance monitoring programmes to ensure compliance with both existing and new regulation;
" Undertaking regulatory horizon scanning, typically consultation papers and policy statements, supporting the dissemination of regulatory change within the business;
" Oversight of Approved Persons Regime / SM&CR;
" Reviewing financial promotions and issuing guidance to the first line to ensure all promotions are compliant with regulatory requirements;
" Ensuring TCF is embedded across the Group;
" Reviewing and providing regulatory advice on new products and/or sales initiatives;
" Providing ongoing training and advice to the first line on regulatory matters;
" Prompt and thorough investigation of complaints, ensuring that the right outcome is achieved for our clients. Liaising with the Financial Ombudsman Service where necessary; and
" Management of GABRIEL returns


" Prior knowledge and experience of working within financial services, ideally dealing with MiFID products
" Experience working closely and communicating with various stakeholders at multiple levels
" Effective verbal and written communication skills
" Ability to work under pressure
" Knowledge and understanding of the FCA Principles for Business

Paying an attractive salary of £25,000-£35,000 ,

Please Apply now or calling the Cardiff Branch.


Looking for a job? Register your CV now


Looking to recruit? Find the perfect hire

Upload Job

Want a career at Brook Street? Join our team

Join Now