Risk & Compliance

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.

IDEX Consulting are currently exclusively partnered with an reputable brand in the financial advice industry in their search for a Head of Business & Quality Assurance. This is a newly created role where you will be responsible for growing a team of Assurance / Monitoring officers who are responsible for reviewing and assessing financial advice, running thematic reviews and having oversight of the processes and controls that make them a market leader in their field. The exciting aspect about this role is the ability to make it your own. This is an exciting time to join the business as you will have a real impact on how the function is ran and be able to offer your professional insights as to 'what good looks like'. The objective for this team is to create a environment that promotes a strong culture and ensures that the business meets its regulatory, advice and T&C obligations and company standards. We are happy to consider remote candidates but there will need to be an expectation to travel to the head office or regional offices. We are also recruiting several other positions in this team at different levels so please do get in touch and we can discuss other options for you. 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.

The Role: As the Head of Compliance, you will play a crucial role in ensuring the firm operates in line with regulatory standards while fostering a strong compliance culture. Reporting directly to the Managing Director, you will lead the compliance function, including oversight of a small team, which includes two experienced file checkers. This role is ideal for a compliance professional looking for flexibility, as you can structure your 3 days a week to suit your requirements. Key Responsibilities: Oversee the compliance framework, ensuring all processes and policies meet FCA requirements. Provide leadership and support to the compliance team, including mentoring two file checkers. Take on SMF16 and SMF17 responsibilities, either immediately or in the future. Conduct regular audits and reviews to ensure the suitability of advice and adherence to best practices. Collaborate with the MD to promote a culture of compliance and continuous improvement. Stay up-to-date with regulatory changes and implement necessary updates to policies and procedures. What We're Looking For: Experience: Strong background in compliance within the Financial Planning / IFA sector. Qualifications: Level 4 Diploma in Financial Planning (or equivalent) is desirable. Leadership Skills: Proven ability to lead and develop a team. Regulatory Knowledge: In-depth understanding of FCA regulations and their practical application within financial planning. Flexibility: A professional who values autonomy and can manage their time effectively in a part-time role. 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.

Exclusive Opportunity: (Senior) Compliance Analyst - Investment Management Specialist Location: London-based with flexibility to work remotely 3-4 days per week About the Company Our client is a investment management firm, providing funds of funds and tailored investment solutions to a diverse range of clients, including private clients, trusts, charities, and corporate bodies. Their offerings span active, income, enhanced passive, and ethical portfolios, as well as proprietary funds. The investment management team is part of a thriving financial services group, giving you exposure to a broader financial services environment. The Role As a (Senior) Compliance Analyst, you will become the investment management compliance specialist within a broader compliance team. This role offers a unique blend of regulatory advisory and compliance monitoring responsibilities, giving you broad exposure across the compliance function. Key Responsibilities Provide regulatory advice to the investment management team, ensuring compliance with FCA requirements and other relevant regulations. Conduct and enhance compliance monitoring reviews to ensure policies and procedures are effectively implemented. Collaborate with the wider compliance team to maintain a strong compliance framework. Act as the go-to compliance expert for investment management-related queries and initiatives. Support the business in navigating regulatory changes, ensuring continued alignment with industry standards. Identify opportunities to improve compliance processes as the business grows. Why This Role? Flexibility: Work from the office 1-2 days a week (or more if you prefer) with the rest of your time remote. Career Growth: As the business expands, you will have the chance to take on greater responsibility and shape the compliance function. Variety: Enjoy a broad compliance role in a collaborative environment, offering exposure to diverse responsibilities. Impact: Be part of a growing, innovative firm where your expertise will directly contribute to their success. What We're Looking For Strong knowledge of compliance within an investment management setting, ideally with experience in funds of funds or portfolio solutions. Practical experience in regulatory advice and compliance monitoring. Ability to collaborate across teams and communicate complex regulatory matters effectively. Ambition to grow with the role and take on additional responsibility over time. A hands-on, proactive approach to compliance. 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.