Risk & Compliance

A leading Wealth Management firm are hiring for a Client File Reviewer to join their busy team. This is a 12 months FTC with the successful applicant needing to be available to start work in May. Key responsibilities include; To focus on the review of client files To undertake a CDD completeness check/data gap analysis to check that CDD is appropriate for the level of risk which the client poses to the company To collect missing information and chase any requested information by communicating with clients and Executives To undertake a review of the activity on the account, ensuring it is in keeping with expectations To ensure that the account structure is correctly documented and that all parties are stored in Avaloq, to be included in the overnight screening Undertake technical or any other relevant training as and when required Undertake and record relevant Continuous Professional Development (CPD) to develop knowledge and skills The successful applicant will require recent and relevant experience within a file reviewer/compliance based role in a financial services environment. 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: A leading firm in the insurance brokerage and Managing General Agent (MGA) sector, recognized for their dedication to regulatory compliance and exceptional service. Job Description: We are seeking a skilled and meticulous VP / Regulatory Counsel to join our team in New York City. This role is crucial to the regulatory compliance efforts, especially within the insurance brokerage and MGA domains. You will offer expert legal guidance to ensure our operations comply with all regulatory requirements. Key Responsibilities: Advise on regulatory compliance matters related to insurance brokerage and MGA activities. Monitor and interpret federal, state, and local regulations impacting the insurance industry. Develop and implement compliance policies and procedures. Conduct compliance training for employees and stakeholders. Perform due diligence and risk assessments for MGA transactions. Collaborate with cross-functional teams to address compliance issues. Represent the company in regulatory examinations and audits. Qualifications: Admission to the New York State Bar. Experience in regulatory compliance within the insurance industry. Expertise in insurance brokerage and MGA regulations. Strong analytical, research, and problem-solving skills. Excellent communication and interpersonal abilities. Ability to work independently and manage multiple priorities. 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.

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.