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Compliance Operations Supervisor

2 months ago

Cardiff, Cardiff, United Kingdom Finlink Ltd Full time

Job Summary

The Compliance Operations Supervisor role at Finlink Ltd is a key position within our Financial Services team. As a Compliance Operations Supervisor, you will be responsible for ensuring that our member firms adhere to the required compliance frameworks.

Key Responsibilities

  • Support the compliance team in ensuring all compliance frameworks are met in sufficient time.
  • Liaise with member firm financial advisors to identify and implement compliance requirements.
  • Create reports to supervise member firms and ensure compliance tools are used effectively.
  • Collate and present information required by management, regulators, and PI Insurers.
  • Monitor social media, publications, documentation, member profiles, and websites to ensure compliance with guidelines.

Requirements

  • 2+ years' experience within the financial advice sector, preferably as an IFA Administrator or within compliance.
  • Organized individual with excellent communication skills.
  • Excel experience preferred.

Benefits

  • Hybrid working arrangement.
  • 25 days holiday + bank holidays.
  • Pension scheme.
  • Death in service available after probation period.
  • Sick pay.
  • Income protection.
  • New, modern office with onsite gym.