Compliance Monitor – File Review

Competitive Salary

Hybrid working - Cardiff

This opportunity is ideal for experienced compliance professionals or paraplanners within financial services who are looking to move into a dedicated compliance role within a growing and forward-thinking business. If you have strong technical knowledge, attention to detail and want to play a key role in maintaining high standards of advice, this could be your next move.

The Business

We’re working with a well-established and highly respected financial services group that supports a national network of financial advisers and advice firms. The business combines operational infrastructure, technology and regulatory expertise to enable firms to deliver high-quality, compliant financial advice.

With continued growth, the business is now looking to appoint a Compliance Monitor to support advisers and ensure that advice standards remain consistent across the network.

The Role

Working as part of the compliance function, you will be responsible for reviewing client files to ensure advice meets regulatory standards and internal quality requirements.

You will carry out detailed file reviews across a broad range of cases, providing clear and constructive feedback to financial advisers through internal systems. Alongside this, you will report on findings, highlight trends and support management in identifying areas for improvement across the network.

The role will also involve undertaking ad hoc compliance checks and supporting wider compliance activity where required. This is a position suited to someone who is technically strong, detail-focused and confident in communicating feedback, with the ability to balance quality, consistency and efficiency.

Benefits

• Competitive salary
• Death in service cover
• Income Protection
• Private Medical Cover and Dental Cover
• On-line GP Service and Employee Assistance Programme
• Employer pension scheme

Desired Experience

• Level 4 Diploma in Financial Planning (minimum)
• Minimum of 5 years’ experience within financial services
• Background in compliance or paraplanning
• Strong knowledge of investments, pensions and financial planning processes
• Excellent attention to detail and ability to assess technical accuracy
• Confident written communication, particularly when providing feedback
• Experience using IFA systems or ability to learn new platforms quickly
• Strong organisational skills and ability to manage workload independently

Applying

If this role sounds of interest, please apply below and we will be in touch as soon as possible to discuss further.

Synonyms

Compliance Officer, File Reviewer, Quality Assurance Analyst, Paraplanner, Compliance Analyst, Advice Quality Assessor