Compliance File Checker
6 months ago
Do you have a background in financial planning compliance and hold the level 4 diploma?
Would you like to work for a reputable wealth management firm with new offices in the heart of Bath?
This opportunity will provide you with an array of benefits including:
- Holiday - 25 days + Bank holiday and extra for each years service up to 28
- x4 DIS
- Group Pension
- PMI
- Cash Plan
- Hybrid working
This is a supportive business that provides a fantastic platform for individuals looking to create a successful career within compliance.
Duties include but will not be limited to:
- Review pre and post advice files
- Provide constructive feedback and support to the advice team
- Assist with business complaint investigations
- Provide technical and regulatory support
- Experience of pre and post sales file review
- Level 4 diploma in financial planning
- Good understanding of the financial planning process
Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.
**Our Diversity, Equity and Inclusion Mission**
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.
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