Compliance and Operations Associate
2 weeks ago
IDEX Consulting is seeking a highly skilled and experienced Compliance and Operations Associate to join our team. As a key member of our operations team, you will play a critical role in ensuring the smooth delivery of our services to clients, while maintaining the highest standards of compliance and regulatory adherence.
Key Responsibilities:
- Process new business transactions with precision and attention to detail
- Analyze valuation reports to identify areas for improvement and optimize processes, ensuring compliance with regulatory requirements
- Prepare performance documentation for client review appointments, highlighting key achievements and areas for growth
- Develop and maintain a comprehensive review checklist for client appointments, ensuring all necessary steps are taken
- Obtain provider information to assist advisers with recommendations, building strong relationships with key stakeholders
- Run risk profiler results via FE Analytics, providing actionable insights to inform decision-making
- Keep clients informed of progress, maintaining excellent communication throughout the process
- Assist with research and produce FE Analytics fund switch reports, ensuring seamless transitions
- Process and monitor switches directly with providers or electronically, ensuring timely completion
- Prepare half-yearly valuation reports for issue to clients, providing clear and concise summaries
- Provide post-review summary reports to clients, highlighting key takeaways and recommendations
Minimum Requirements: Previous experience in an IFA environment is essential, with a strong understanding of financial regulations and compliance.
Salary: £35,000 - £40,000 per annum, depending on experience.
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Housing Association Compliance Officer
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