Compliance Manager

6 days ago

London, Greater London, United Kingdom IDEX Consulting Full time

A well-established professional services firm, IDEX Consulting, is seeking an experienced Compliance Manager to oversee a small team of Financial Advisors in the UK. This role will be primarily based at home with regular office visits required.

Key responsibilities of the role include:

  • Liaising with regulatory bodies on compliance matters
  • Leading the implementation and monitoring of policies to ensure compliance with regulatory requirements
  • Providing training to the team on compliance and quality matters
  • Supporting the compliance team with regulatory interactions related to the Financial Planning team
  • Ensuring key risks and controls are identified and assessed, including reporting on risk-related matters and monitoring KPIs
  • Ensuring relevant colleagues meet the requirements and follow the relevant process to become certified in the client dealing function under the SMCR regime
  • Coordinating regular and ad-hoc performance and quality reviews and Internal Audits
  • Controlling the sign-off of new regulated financial advisers
  • Developing, updating, and compliance monitoring of regulated advice processes

What we are looking for in you:

  • Level 4 Diploma Qualified (or close to being qualified)
  • Experience in working within a compliance and T&C within financial services previously
  • This will ideally be within a Wealth Management / Financial Planning / IFA environment
  • Exposure to Defined Contribution Consulting would be helpful
  • Strong technical knowledge particularly around pensions and investments
  • Strong understanding of the FCA and an ability to stay up to date on the changing regulatory landscape

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