Risk & Compliance

A leading national Independent Financial Advisory (IFA) firm is looking for an experienced Compliance Manager to provide maternity cover for 9 months. This is a fantastic opportunity to join a well-established and growing financial planning business, working closely with senior leadership and ensuring regulatory excellence across the firm. The Role Reporting directly to the CEO, you will play a key role in maintaining and enhancing the firm's compliance framework. Key responsibilities include: Managing the compliance framework to ensure regulatory adherence and best practice. Oversight of file reviews (working alongside an outsourced partner). Leading a compliance audit scheduled for Q3, ensuring all regulatory requirements are met. Acting as a key compliance advisor to the leadership team. Providing compliance guidance and support across the business. To be successful in this role, you must have: Financial planning/IFA compliance experience - a strong understanding of the regulatory landscape. Level 4 Diploma in Financial Planning (or working towards it) - highly desirable. Experience in managing compliance frameworks and audits. The ability to work independently and advise senior stakeholders. Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy. Our Diversity, Equity and Inclusion Mission At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.

My client is based in Manchester and they are looking for a Compliance Monitoring Officer to join their team. The business operates a hybrid working model. The main purpose of the role is to provide a file review service to the clients of the business. The file reviews will mainly be for medium to large IFA firms. Duties Deliver a client file review service in line with Service Level Agreements Respond to client queries in a timely, clear and concise manner, setting customer expectations in respect of timescales anticipated, and recording information in line with business standards Provide oral feedback to clients in respect of client file reviews as required To report to the Head of Compliance any specific issues or concerns regarding any client firms which might realistically affect their ability to trade, or affect their ability to fulfil its commercial and contractual obligations to one another. Maintain a CPD record in line with FCA requirements for regulated individuals Generate reports and summaries of thematic reviews/file assessments as requested by the Head of Compliance Undertaking specific projects - e.g. review of SMCR arrangements, T&C scheme, Investment proposition, relationships with third parties etc. and providing written feedback and guidance Suitable candidate will have: A QCF Level 4 Diploma qualification Experience in a compliance/technical area of a support service, network or IFA business. Detailed knowledge of regulatory framework required to carry out client file review Experience of providing feedback to IFAs in relation to client file quality or T&C issues Good communication skills verbal and written formats - for internal and external clients Attention to detail is a must What they offer in return: Hybrid working A competitive salary 27 days holiday (plus bank holidays) 8% employer pension contribution, plus the ability to elect to make a personal contribution via salary sacrifice AVIVA Private Health Care Death in Service benefit (4 times annual salary) Income Protection Insurance Free parking A friendly, supportive and accommodating working environment For more information please contact me on 07896 933622 or email: graeme.hyland@idexconsulting.com Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy. Our Diversity, Equity and Inclusion Mission At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.

IDEX are exclusively representing a Wealth Manager in the Midlands who are looking for a Head of Advice & Controls. This is a project role that will support the compliance leadership team in identifying regulatory or operational gaps in the advice process. You will work with the senior leadership team in helping improve and automate processes and ensure that the business is bought into the new processes. This role is best suited for candidates who want to shape and advise on best practice and have an interest and eye for process improvements. You must be a Chartered Financial Planner to be considered for this role and have a technical understanding of financial planning products and advice solutions. Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy. Our Diversity, Equity and Inclusion Mission At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.

My client is currently looking for experienced File Reviewers, or Paraplanners who are looking for a change, to conduct advice quality audits both on a pre-submission and post-submission basis. The main purpose of the role is to provide a file review service Delivery of informative and constructive feedback to IFA's following advice quality assessment Dealing with day-to-day advice and regulatory queries from other departments, undertaking research, where necessary, in order to provide informed responses Providing new business concessions, where necessary ensuring accurate and timely recording Assistance with past-business auditing in relation to FCA Thematic Reviews, as directed by Risk and T&C Supporting Risk and T&C in the periodic assessment of an adviser's eligibility for CAS Providing assistance to the Advice Support Unit, as and when required Understanding of the Firm's Advice Guidance in order to maintain and develop knowledge of the firm's approach to providing suitable advice Maintaining a good level of knowledge and technical understanding of all financial planning concepts and regulatory focuses through the completion and recording of annual CPD Adhering to all requirements of the applicable T&C Scheme, demonstrating the ability to support Customer Care functions where necessary Assistance with any departmental function as required Experience, knowledge and qualifications: Diploma in Financial Planning as a minimum qualification requirement Willingness to take further qualifications, as relevant to your role Demonstration of knowledge and experience in personal financial planning Experience in an IFA environment Good communications skills, with the ability to provide constructive feedback A high standard of written and numerical skills An ability to demonstrate strong report-writing skills A high level of accuracy and attention to detail Aptitude in Microsoft Office. Knowledge of Xplan preferred by not essential Ability to work with minimal supervision, understanding the importance of meeting deadlines To work well within a team environment and to support peers where required Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy. Our Diversity, Equity and Inclusion Mission At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.

Company Overview: Join a leading Wealth Management firm that provides tailored investment solutions to private clients, trusts, and institutional investors. With a strong commitment to regulatory excellence and client-focused investment strategies, the firm operates within the MiFID framework, ensuring compliance with evolving financial regulations. As part of a high-caliber compliance team, you'll play a key role in shaping the firm's compliance culture and providing strategic regulatory guidance. About the Role: We are seeking an experienced Compliance Business Partner to support the Head of Compliance in overseeing the firm's regulatory obligations. This role offers the opportunity to work closely with key stakeholders, providing expert compliance advice, helping embed regulatory frameworks, and ensuring adherence to MiFID and wider investment regulations. Key Responsibilities: Act as a trusted compliance advisor to the business, providing expert guidance on MiFID, CASS, SMCR, Conduct Risk, and ESG considerations. Support the implementation and enhancement of the firm's compliance framework, ensuring it remains aligned with evolving UK and EU regulations. Conduct horizon scanning for regulatory changes, assess their impact, and support implementation. Assist in regulatory reporting, policy development, and compliance monitoring activities. Work closely with investment teams to ensure advice, disclosures, and processes meet regulatory requirements. Support compliance training initiatives to foster a strong culture of regulatory awareness. Engage with the FCA and other regulatory bodies, assisting with responses to regulatory queries and thematic reviews. Contribute to internal audits, risk assessments, and governance reporting. What We're Looking For: Strong experience in compliance within wealth management, investment management, or financial services. Deep understanding of MiFID regulations, conduct risk, and investment suitability. Ability to interpret and apply FCA regulations within an investment environment. Strong stakeholder management skills, with the ability to influence at all levels. Excellent written and verbal communication skills. Proactive and solutions-oriented mindset. Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy. Our Diversity, Equity and Inclusion Mission At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.

About Us: Independent broker who operate across Europe who also have a foothold in the employee benefits market. Job Description: We are seeking a strategic Head of Compliance to lead the compliance function. This pivotal role will oversee our compliance efforts across all operations, including a focus on the Employee Benefits division. Based in either Surrey or Manchester, you will ensure that our operations adhere to all regulatory requirements and internal policies. You must have Insurance or employee benefits experience and have experience in implementing a robust compliance framework Key Responsibilities: Develop, implement, and oversee the company's compliance program. Ensure compliance with UK and international regulations governing the insurance brokerage and employee benefits sectors. Provide expert advice and guidance on compliance matters to senior management and the Board of Directors. Conduct regular risk assessments and compliance audits. Implement and manage compliance training programs for employees. Oversee investigations into compliance issues and breaches, developing corrective action plans. Maintain up-to-date knowledge of industry trends, regulatory changes, and best practices. This is a hybrid role but will have some travel across the offices. Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy. Our Diversity, Equity and Inclusion Mission At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.

About Us: Independent broker who operate across Europe who also have a foothold in the employee benefits market. Job Description: We are seeking a strategic Head of Compliance to lead the compliance function. This pivotal role will oversee our compliance efforts across all operations, including a focus on the Employee Benefits division. Based in either Surrey or Manchester, you will ensure that our operations adhere to all regulatory requirements and internal policies. You must have Insurance or employee benefits experience and have experience in implementing a robust compliance framework Key Responsibilities: Develop, implement, and oversee the company's compliance program. Ensure compliance with UK and international regulations governing the insurance brokerage and employee benefits sectors. Provide expert advice and guidance on compliance matters to senior management and the Board of Directors. Conduct regular risk assessments and compliance audits. Implement and manage compliance training programs for employees. Oversee investigations into compliance issues and breaches, developing corrective action plans. Maintain up-to-date knowledge of industry trends, regulatory changes, and best practices. This is a hybrid role but will have some travel across the offices. Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy. Our Diversity, Equity and Inclusion Mission At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.

About Us: Join a leading Property and Casualty (P&C) insurance company renowned for innovation, excellence, and a customer-centric approach. Job Description: We are seeking a highly experienced and dynamic Head of Compliance to lead our compliance function. This role is pivotal in ensuring our operations adhere to all regulatory requirements and internal policies. As the Head of Compliance, you will play a crucial role in shaping our compliance strategy, fostering a culture of integrity, and mitigating risk across the organization. Key Responsibilities: Develop, implement, and oversee the company's compliance program. Ensure adherence to federal, state, and local regulations governing the P&C insurance industry. Provide expert advice and guidance on compliance matters to senior management and the Board of Directors. Conduct regular risk assessments and compliance audits. Implement and manage compliance training programs for employees. Lead investigations into compliance issues and breaches, and develop corrective action plans. Maintain up-to-date knowledge of industry trends, regulatory changes, and best practices. To be considered you must have P&C experience and be able to work in New York for 3 days a week. $300,000 salary for the right candidate. Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy. Our Diversity, Equity and Inclusion Mission At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.