Financial Planning Assurance Lead
21 hours ago
IDEX Consulting is a values-driven firm dedicated to excellence in financial planning. As a Financial Planning Assurance Lead, you will play a key role in ensuring the highest standards of regulatory compliance.
Job Description:
- 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.
- Support Remediation Efforts: Participate in remediation cases when needed, contributing to our commitment to positive client outcomes.
About You
A suitable candidate should have experience in financial services, solid knowledge of financial planning, advisory regulations, and a strong analytical mindset. Excellent communication and problem-solving skills are also required. The ideal candidate should be proficient in Microsoft Excel, Word, and PowerPoint, and familiar with systems like Xplan and Worksmart. Salary: £60,000 - £70,000 per annum.
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