Risk & Compliance

I am currently looking for an experienced Compliance Officer to join a well-established financial services consultancy! The company have offices dotted all over the UK including Manchester, Belfast and Glasgow. This role will be ideal for someone with experience in the field. Unlike a lot of their competition, they offer a very competitive package and have an impressive route for progression due to the structure of the company. Benefits include: Remote/flexible working, private medical insurance, 10% pension contribution match, car scheme and much more. Responsibilities: Quality, Risk, and Audit Officer Ensure the plan aligns with the standards and clauses of ISO 9001 and conduct internal audits to validate compliance. Conduct internal audits. Facilitate external audits, particularly for ISO 27001 Information Security and ISO 9001 Quality Assurance. Perform supplier due diligence. Participate in the regular analysis and review of Management Information within the Risk and Audit team to identify trends. Assist in monitoring an effective Business Continuity Plan/Disaster Recovery Plan by collaborating with 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.

IDEX are currently working with a global Lloyd's insurer in their search for an Enterprise Risk professional to join their team in London. The client are a great brand in the market who operate internationally and also have a Lloyds syndicate live in London. You will be joining a small team with a broad coverage across enterprise risk, covering key risk areas such as improvement of the risk management framework and culture, solvency II ownership, ORSA management and risk reporting. This role is unique in the sense that you will get the opportunity to run risk workshops, face of to the risk committee and business partner with international teams from day one. The client have specified that insurance experience is a must for this role and there is a requirement to go into the office 3 days a week. 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.

IDEX Consulting are currently partnered with a Financial Planning business who are looking to recruit an officer into their governance / assurance team. This role will be responsible for providing oversight of the regulatory risks and controls and provide oversight to the Investment Managers and Paraplanners on the financial advice they give. This role will involve lots of stakeholder management but the client are happy to offer a hybrid working model with regional offices all over the UK. There will be an expectation for occasional travel to London. The objective of this role is to provide assurances to the business that the T&C, financial advice and files reviewing are all robust and the culture of client commitment and service is at the heart of what they do. This role is suited for someone with compliance, T&C, file review, governance or compliance monitoring experience. You must have worked in a Financial Planning / Wealth Management business. 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.

A growing independent advice firm require a compliance assistant join their thriving team based out of central Birmingham. This role can be based remotely or hybrid with monthly meeting required in person at offices in the city centre. This is an excellent opportunity to join a company that invests in employee development and offers a platform to further knowledge and career opportunities. The company has an impressive track record of growing organically and through company acquisition now require a Compliance Assistant for the following primary duties. Support Head of Compliance with compliance framework and ensure business standards align to regulatory requirements Ensure suitable compliance policies and procedures are met Implementing FCA regulations and updates Complaints handling Support with regulatory reporting Quality assurance The ideal candidate will have worked for a financial advice office and offer similar experience. It is essential to have worked alongside IFA's or Financial Advisers offering regulated support. Suitable backgrounds might include Compliance Assistant/ Officer, File Review, Paraplanner or Technician. Diploma level 4 preferred. Further training and development, and exam support available. 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 and is paying a salary c£40k to £45k. 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 is working with one of the leading Advisory firms in the North of England to recruit a Business Quality Support Officer to join their established business, with the job purpose of help them adhere to and the development or standards across the Financial Planning Team. Based out of either their Newcastle or Leeds offices, they provide an opportunity for somebody to join a team that demonstrates stability and growth. Duties include; Producing and maintaining firm standards through the drafting of effective guidance and procedures Supporting the effective embedding of these business standard through all activity undertaken Completing file review activity as defined in the T&C Scheme Carrying out file reviews to ensure suitability / records meet firm standards Providing all feedback, specifically in relation to file reviews in an effective and constructive manner Maintaining and developing effective stakeholder management, specifically with FPC's, line managers and the Compliance Team Maintaining appropriate file review records Due to the regulatory nature of this role, the successful candidate will require their Level 4 Diploma in Financial Advice. 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 is working with one of the leading Advisory firms in the North of England to recruit a Business Quality Support Officer to join their established business, with the job purpose of help them adhere to and the development or standards across the Financial Planning Team. Based out of either their Newcastle or Leeds offices, they provide an opportunity for somebody to join a team that demonstrates stability and growth. Duties include; Producing and maintaining firm standards through the drafting of effective guidance and procedures Supporting the effective embedding of these business standard through all activity undertaken Completing file review activity as defined in the T&C Scheme Carrying out file reviews to ensure suitability / records meet firm standards Providing all feedback, specifically in relation to file reviews in an effective and constructive manner Maintaining and developing effective stakeholder management, specifically with FPC's, line managers and the Compliance Team Maintaining appropriate file review records Due to the regulatory nature of this role, the successful candidate will require their Level 4 Diploma in Financial Advice. 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.