Location: Remote with travel
Sector: Financial Planning / Wealth Management
Type: Full-time
Are you a compliance professional with a Level 4 Diploma in Financial Planning?
IDEX are currently working with a financial planner in their search for a Compliance Officer, you will play a critical role in ensuring regulatory excellence, conducting file reviews, and embedding Consumer Duty principles across the organization.
About the Role:
As Compliance Officer, you will provide expert regulatory guidance, perform detailed file reviews, and support the business in adhering to all FCA requirements. This is a hands-on role within a dynamic team, ensuring compliance frameworks are robust and aligned with the highest industry standards.
With Consumer Duty shaping the future of financial planning, this role offers the opportunity to make a meaningful impact on client outcomes while supporting the growth and integrity of the business.
Key Responsibilities:
* Regulatory Compliance: Monitor and ensure compliance with FCA regulations, particularly focusing on Consumer Duty obligations.
* File Reviews: Conduct thorough reviews of client files, identifying areas for improvement and ensuring adherence to regulatory and company standards.
* Guidance & Support: Provide compliance advice to financial planners and other stakeholders to support the delivery of high-quality, compliant advice.
* Policy Development: Assist in the creation, implementation, and updating of compliance policies and procedures.
* Training & Awareness: Deliver training to team members on compliance requirements and Consumer Duty principles.
* Audit & Reporting: Support internal and external audits, preparing compliance reports for senior management.
What We’re Looking For:
* Qualifications: Level 4 Diploma in Financial Planning is essential.
* Experience: Proven experience in a regulatory compliance role within a financial planning or advisory business.
* Technical Knowledge: Strong understanding of FCA regulations, file review processes, and Consumer Duty obligations.
* Attention to Detail: Ability to identify and address compliance risks with precision and thoroughness.
* Communication Skills: Excellent verbal and written communication, with the ability to provide clear, actionable feedback to stakeholders.
* Problem-Solving: A proactive and pragmatic approach to addressing compliance challenges.