Regulatory Compliance Specialist

2 days ago


Carlisle, Cumbria, United Kingdom IDEX Consulting Full time

About IDEX Consulting

We are a leading consulting firm providing expert advice in financial services. We are seeking a highly skilled Regulatory Compliance Specialist to join our team.

Key Responsibilities:

  • Conduct business assurance checks and reviews in alignment with the company's standards and processes.
  • Manage assurance activities to meet specified timescales and provide timely feedback to financial planners.
  • Collaborate constructively with planners and Paraplanners on case reviews, maintaining an impartial stance while promoting regulatory compliance.
  • Participate in remediation efforts where customer impact is identified, supporting solutions that prioritise client welfare.
  • Escalate issues as needed to ensure regulatory requirements and internal policies are followed.
  • Maintain records of review outcomes and ensure internal systems reflect the status of assurance activities.

About You

We are looking for a proactive communicator with a professional approach and excellent analytical skills. A strong background in financial services, knowledge of advisory regulations, and experience with Microsoft Excel, Word, and PowerPoint are essential. A Diploma Level 4 qualification is preferred. Salary: £55,000 - £65,000 per annum.



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