Regulatory Compliance Supervisor

4 weeks ago

London, Greater London, United Kingdom IDEX Consulting Ltd Full time
Position Overview

Regulatory Compliance Supervisor – Financial Advisory Services

Location: South East (flexible working arrangement with occasional office presence)

Compensation: Competitive salary with a comprehensive benefits package

IDEX Consulting Ltd is seeking a seasoned Compliance Supervisor to oversee a dedicated team of Financial Advisors in the South East region. This position offers the flexibility of remote work, with a requirement for in-office attendance on a weekly basis.

Key Responsibilities:

  • Engaging with compliance teams on regulatory issues.
  • Leading the development and enforcement of policies to ensure adherence to FCA regulations in collaboration with the broader compliance unit.
  • Providing training to team members on compliance and quality assurance topics.
  • Assisting the compliance department with any FCA-related communications pertinent to the Financial Advisory team.
  • Identifying and evaluating key risks and controls, including the reporting of risk-related issues and monitoring of key performance indicators such as client satisfaction and provider recommendation trends.
  • Ensuring that relevant personnel fulfill the necessary criteria and adhere to processes for certification in client-facing roles under the SMCR framework, including managing reminders regarding ongoing responsibilities.
  • Coordinating regular and ad-hoc performance evaluations, quality assessments, and internal audits.
  • Overseeing the approval process for new regulated financial advisors.
  • Developing, revising, and monitoring compliance with regulated advisory procedures.

Candidate Profile:

  • Possession of a Level 4 Diploma (or nearing completion).
  • Prior experience in compliance and training within the financial services sector.
  • Experience in Wealth Management, Financial Planning, or Independent Financial Advisory settings is preferred.
  • Familiarity with Defined Contribution Consulting is advantageous.
  • Strong technical expertise, particularly in pensions and investment products.
  • In-depth understanding of FCA regulations and the ability to remain informed about the evolving regulatory environment.

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