Regulatory Compliance Officer

4 days ago


Chester, Cheshire, United Kingdom IDEX Consulting Full time
About the Role

The Regulatory Compliance Officer will be responsible for driving regulatory assurance and compliance across our advisory practices. This is an exciting opportunity to work with our team to shape core processes and contribute to process improvements.

  • Develop and implement effective compliance strategies to mitigate regulatory risks.
  • Collaborate with financial planners to ensure advice meets all regulatory expectations.
  • Provide constructive feedback and guidance to planners and Paraplanners on case reviews.
  • Escalate issues to ensure regulatory requirements and internal policies are followed.
Key Responsibilities

The successful candidate will be responsible for conducting business assurance checks and reviews, managing assurance activities, and participating in remediation efforts. You will also be required to maintain records of review outcomes and update internal systems.

  • Conduct regular business assurance checks and reviews to ensure compliance with company standards and processes.
  • Manage assurance activities to meet specified timescales and provide timely feedback to financial planners.
  • Collaborate with planners and Paraplanners on case reviews, maintaining an impartial stance.
  • Participate in remediation efforts where customer impact is identified.
What We Offer

We offer a competitive salary of £45,000 - £60,000 per annum, depending on experience. You will also have access to ongoing training and development opportunities to support your career growth.



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