Regulatory Compliance Expert

2 weeks ago


London, Greater London, United Kingdom IDEX Consulting Full time

IDEX Consulting is committed to driving conscious inclusion across our business and creating equitable pathways. We strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work.

About the Role

We are seeking an experienced Regulatory Compliance Expert to join our team. The successful candidate will have a solid understanding of financial planning, advisory regulations, and a strong analytical mindset.

The ideal candidate will have financial services experience, knowledge of advisory standards and regulations, including RDR, MIFID II, and Consumer Duty. Proficiency in Microsoft Excel, Word, and PowerPoint, with familiarity in systems like Xplan and Worksmart, is also required.

We estimate that the salary for this role is around $90,000 - $110,000 per annum, depending on experience.

Key Responsibilities
  • Drive Regulatory Assurance and Compliance: Support core compliance activities and regulatory risk control through meticulous review and assessment of advisory practices.
  • Contribute to Process Improvements: Help design and refine essential assurance processes, working in a newly established team with room for innovative contributions.
  • Collaborate and Provide Constructive Feedback: Engage constructively with financial planners to ensure advice meets all regulatory expectations, promoting 'right first time' standards.


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