Compliance Officer

About the Role

Our client is seeking a diligent and proactive Compliance Officer to join their thriving financial services operation in Cardiff . In this crucial, office-based role, you will be responsible for ensuring the company adheres to all relevant laws, regulations, and internal policies. Your expertise will be vital in mitigating risks, preventing financial crime, and maintaining the integrity of the firm's operations. This position offers a stable career path within a reputable organisation that prioritises regulatory adherence and ethical conduct, providing a secure and professional working environment within the heart of the Welsh capital.

Key Responsibilities

• Develop, implement, and maintain robust compliance policies and procedures across the organisation.
• Conduct regular compliance monitoring, audits, and risk assessments to identify potential areas of concern.
• Investigate potential breaches of compliance regulations and recommend corrective actions.
• Provide training and guidance to staff on compliance matters, including anti-money laundering (AML) and Know Your Customer (KYC) procedures.
• Stay abreast of changes in financial regulations and advise the business on their implications.
• Liaise with regulatory bodies, such as the Financial Conduct Authority (FCA), as required.

Requirements

• Bachelor's degree in Law, Finance, Business, or a related field; relevant professional qualifications (e.g., ICA Diploma) are highly desirable.
• Minimum of 3 years' experience in a compliance, risk, or audit role within the financial services sector.
• In-depth knowledge of UK financial services regulations , including AML, KYC, GDPR, and FCA rules.
• Proven experience in developing and implementing compliance frameworks and conducting risk assessments.
• Excellent attention to detail, strong analytical skills, and the ability to interpret complex legal and regulatory texts.
• Exceptional organisational skills and the ability to manage multiple responsibilities effectively in an office-based setting.

Benefits

• Competitive annual salary commensurate with experience.
• Generous annual leave entitlement.
• Company-sponsored training and professional development opportunities.
• Membership in a company pension scheme.
• A stable and secure working environment within a well-established firm.