IFA Administrator
1 month ago
IFA Administrator, Specialising in Compliance
To support the Compliance Manager to ensure the company achieves and maintains high standards of regulatory compliance in governance, operations, business, and client transactions.
Maintain compliance monitoring plan for group of companies
Assist Head of Compliance with administration, recording and gathering of MI.
Data input for Reg Data reports
Data input for FCA Connect applications
Data input for FCA Data Return requests
Data collation, recording, and presentation for records management purposes
Complaint handling and recording
Maintain company compliance registers
Assisting in the development and upkeep of policies and procedures
Provide support and assistance to any ad hoc compliance projects as appropriate
Escalate any issues, risks, or concerns to the Head of Compliance as appropriate
Assist Head of Compliance with annual Certification process under SMCR
Experience working in a financial services environment preferably working within IFA Administration
Someone who has an interest to move into compliance full time
Understanding of UK financial services regulation
This is an amazing opportunity for an experienced IFA Support to specialise within the compliance field. Visit the IDEX Consulting Ltd website for further opportunities. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.
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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 are committed to driving conscious inclusion across our business and creating equitable pathways.
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