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Compliance Monitoring Officer

3 months ago

West Midlands, United Kingdom IDEX Consulting Ltd Full time

My client is currently looking for a IFA Compliance Monitoring Officer to join their growing Compliance Function. The ideal candidate will work remotely. Key Accountabilities Include

  • Monitoring - Perform file reviews and compliance monitoring on all aspects of the FCA regulated activities within the group, assessing compliance with regulations, standards and outcomes
  • Reporting - keeping the review spreadsheet up to date with effective record keeping on all checks undertaken
  • Collaboration - Collaborate with the compliance team and business stakeholders to produce management information and reporting

Person Specification

  • Must have proficient IT skills, with excellent spread sheet knowledge

Experience

  • Minimum of QCF Level 4 Diploma qualification, with a desire to continue studying through to level 6
  • Experience in a compliance file checking / paraplanning technical area of a support service, network or IFA business

Skills / Personal Attributes

  • Good planning and effective organisational skills
  • Honesty and integrity
  • Methodological approach to work

What's in it for you?

  • 28 days holiday, plus bank holidays
  • Flexible hybrid working
  • Birthday day off
  • Income protection for up to 5 years
  • Pirkx online discounts and cashback plus 24-hour access to a GP
  • 4x salary death in service
  • 5% matched pension contributions
  • Access to the Radiant Academy (to support future career aspirations)
  • Competitive bonus scheme

For more I formation please contact Graeme Hyland on or email

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At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.