Financial Planning Compliance Expert

4 days ago


Exeter, Devon, United Kingdom IDEX Consulting Ltd Full time
About the Role

The Financial Planning Compliance Expert will be responsible for providing supervisory support to regulated individuals within our financial services business. The ideal candidate will have proven experience of carrying out skills observations/assessments and in-depth knowledge of financial services regulations.

Responsibilities:
  • Support the initial and annual reassessment of competence and Fit and Proper processes for Financial Planners as required.
  • Identify thematic issues and support the upskilling of the financial planning community where appropriate.
  • Help identify trends where policy and processes could be improved to mitigate risks.

Requirements: A minimum Diploma qualified level 4 in Financial Advice and ideally advanced qualifications acquired.



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