Compliance Manager

Posted 19 September by D&R Partners Recruitment Limited
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Are you an experienced, Compliance Executive looking for your next opportunity? Are you from a financial services compliance background, experienced in ensuring appropriate customer outcomes in line with regulatory obligations? This exciting role will see you join an ambitious and fast-growing financial services company where you will be assisting the business as an important part of the compliance team. If this sounds like the new role for you,

Position: Compliance Manager (Financial Services)

Salary: £27,000 - £35,000 pa (depending on experience)

Hours: Full time, 37.5 hours per week

Location: Cardiff

Contract: Permanent

If you are successful in securing this Compliance Executive role for this financial services business, you can expect the following great benefits, in addition to a modern office environment on the outskirts of Cardiff.

  • Pension Contribution (plus salary sacrifice option)
  • Private Medical Insurance
  • Discretionary bonus scheme
  • Generous holiday entitlement plus buy more through flex scheme
  • Life Assurance
  • A flexible benefits scheme (e.g. childcare vouchers, Dental cover)
  • Performance Reviews and support with development needs
  • A modern office and supportive culture
  • A fun Sports and Social program (free membership)
  • An active Charity and CSR program

The successful Compliance Executive will be responsible for the following main duties:

  • Working as part of a team assisting the business in delivering appropriate customer outcomes in accordance with the regulatory framework; across all areas of the business including servicing of mortgages and loans.
  • Providing technical support and guidance to the business in relation to policies, procedures and training.

For your application to be successful for this Compliance Executive role for this Cardiff based financial services company, your CV should demonstrate the following skills and experience:

  • Three years’ experience working in a financial services regulatory environment with a background in Compliance
  • Detailed knowledge of FCA, CCA, CONC, MCOB, DPA, COBS, CASS, MIFID II, ISA regulations, FATCA, DISP rules and guidance (Essential)
  • Ability to review & interpret regulatory, industry and internal standards.
  • Team player
  • Strong inter-personal communications skills
  • Attention to detail with ability to interpret complex information
  • Ability to plan workload to ensure delivery to stringent timeframes
  • Maintain awareness of regulatory developments whist assessing the impact and implementing changes

So don’t delay! Send your CV to Rico Iheagwara today to apply for this exciting new Compliance Executive job in Cardiff or call Pure Recruitment on the number below for more information.

Job Types: Full-time, Permanent

Salary: £27,000.00-£35,000.00 per year


  • Company events
  • Company pension
  • Discounted or free food
  • Life insurance
  • Private medical insurance
  • Store discounts
  • Wellness programmes


  • 8 hour shift
  • Monday to Friday


  • financial services compliance: 2 years (Required)

Required skills

  • Compliance
  • Compliance Monitoring
  • Financial Services
  • Compliance Manager
  • Financial Broker

Reference: 40922962

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