Compliance Officer – Cardiff

A Compliance Officer in Cardiff ensures adherence to regulatory standards within a financial planning and mortgage firm. The role involves advising colleagues on regulations, reporting to board level on compliance issues, designing monitoring programmes, and reviewing promotional material for compliance. The officer will stay updated on regulatory changes and assist with product and sales initiative compliance, acting as the main contact for compliance training. Liaising with the FCA and managing GABRIEL returns are also key responsibilities. Candidates should have experience in financial services, stakeholder communication skills, and ideally hold CeMap and Level 4 diploma qualifications. A good understanding of FCA principles is required, with opportunities to grow in a recognised, award-winning organisation.