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Compliance Officer

Full Time
Job Sector:
Customer Service, Financial Services / Insurance
South Wales
Cardiff, Monmouthshire, Newport & Torfaen
Salary description:
£26, 000 - £28, 000
Start Date:
We Plan Group
Job Ref:

Compliance Officer

Department: Compliance

Salary Banding: £26,000 - £28,000

Job Type: Full Time 35 Hours (in-house)

Hours:  Monday to Friday between the hours of 9:00am – 5:00pm

Reports to:  Head of Group Compliance    

Main Purpose of the Role:

As Compliance Officer you will support the Head of Compliance to oversee day to day compliance and risk management. You will assist in the design and implementation of the compliance framework and drive standards of ‘Treating Customers Fairly’ across the business to effectively support the Compliance Department in delivering its objectives.

The candidate should be focused, meticulous and able to advise on a range of regulatory requirements.  If you have a background in compliance and are looking for a new challenge then we want to hear from you!

Duties and Responsibilities:

  • Sign off scripts, marketing and advertising copy and lead acquisition processes
  • Strengthen the Data Protection function and support the DPO in risk management
  • Review and sign off Final Decision Letters to complainants
  • Assist with internal audits and report on findings
  • Provide statistical reports to the Head of Compliance on complaint data
  • Undertake due diligence on suppliers and third party service providers
  • Liaise with external regulators and stakeholders


  • Working knowledge of all relevant regulations including FCA rules, CMR conduct rules, GDPR, DPA & PECR, ASA – CAP Code, DMA Code, Consumer Contracts Regulations
  • Excellent communication skills, both oral and written
  • Industry knowledge
  • Computer literate
  • Attention to detail
  • Judgement and decision-making


  • Educated to degree level
  • Previously worked as a Compliance Officer, Regulatory Enforcement Officer or similar

Please apply online today and submit your current CV and contact details.

Company Description

A little bit of planning now often makes a big difference years down the road. This is especially true when it comes to financial matters.

Some financial products are shrouded in mystery and covered in jargon. Searching online will bring thousands of choices with nobody to help you make sense of it all. People get confused and put it off until another day, even when they know they should be planning for their financial future.

We Plan Group helps consumers to plan for their future by narrowing the search to just the best fuss free financial products and services. Our planners can help you with things like life insurance, funeral plans, loans and wills. We’re primarily a people business - we have hundreds of planners that have spoken to thousands of people like you over the phone and helped them make a plan.

Closing Date:

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