Regulatory Compliance Manager
5 days ago
IDEX Consulting Ltd is looking for a highly skilled Regulatory Compliance Manager - Financial Services to join our team.
This role involves providing regulatory supervision over our financial planning population, ensuring their adherence to the firm's Training and Competency scheme and the overarching control environment.
To succeed in this position, you will need to demonstrate a strong understanding of financial services regulations, particularly related to Financial Planning. Your excellent coaching and assessment skills, combined with your ability to communicate effectively with stakeholders, will be key assets.
Responsibilities:
- Provide support for Financial Planners, overseeing operational financial planner activity from a competency and advice standards perspective.
- Monitor Financial Planner KRIs, carry out observations, and hold 1:1 meetings to ensure compliance.
- Assist with the initial and annual reassessment of competence and Fit and Proper processes for Financial Planners as needed.
Requirements:
- A minimum Diploma qualified level 4 in Financial Advice is necessary, with advanced qualifications beneficial.
- Experience of providing supervisory support to regulated individuals within financial services is required, including skills observations/assessments.
The successful candidate will receive a competitive salary up to £70,000, plus bonus and benefits, in a hybrid working environment.
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Regulatory Compliance Specialist
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Regulatory Risk Manager
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