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LATEST JOBS Risk & Compliance

Compliance Director

London
£120000 - £150000 per annum

We are partnering with one of the UK's leading Financial Planning businesses, providing impartial, tailored advice to High Net Worth Individuals, Business Owner-Managers, and Trustees. This award-winning, fee-based, independent firm manages over £2.4 billion in client assets. As part of their continued growth, they are seeking a Compliance Director to join their Executive Leadership Team. This is a senior, influential role, working closely with the CEO and Board to drive a culture of compliance, ethics, and regulatory excellence while supporting the firm's ambitious growth plans. The Opportunity: Executive leadership role reporting directly to the CEO and the Board Oversight of all compliance functions across the financial planning and corporate finance practices Act as SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) - holding both is an essential requirement Lead a talented compliance team and help shape the business's regulatory strategy Represent the firm with the FCA and external regulatory bodies, ensuring complete adherence to FCA regulations and internal policies Provide hands-on compliance support for the corporate finance practice (a smaller part of the overall remit) What We're Looking For: Proven experience holding SMF16 and SMF17 responsibilities within a regulated environment Financial Planning industry experience is essential, supported by a Level 4 Diploma as a minimum (Chartered status highly desirable) Strong working knowledge of FCA regulations and compliance frameworks within the retail financial advice and wealth management sector A strategic thinker with excellent leadership skills, capable of working at Board level High ethical standards, professional integrity, and a commitment to best practices Why Apply? Play a pivotal role at the executive level in a thriving, growing firm Shape and lead a compliance function in a high-profile, client-centric business Benefit from a flexible, UK-wide role offering outstanding professional development opportunities Important: Only candidates who have held SMF16 and SMF17 and have financial planning experience with a Level 4 Diploma or higher will be considered. 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.

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Client File Reviewer

Lancashire
Up to £35000 per annum

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.

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Head of Compliance

Manchester
US$80000.00 - US$120000.00 per annum

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.

Apply now

Head of Compliance

Surrey
US$80000.00 - US$120000.00 per annum

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.

Apply now

Regulatory Counsel VP

New York
US$220000.00 - US$400000.00 per annum

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.

Apply now

Head of Compliance

New York
US$200000.00 - US$300000.00 per annum

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.

Apply now

Compliance Monitoring Officer

Manchester
£42000 - £45000 per annum

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.

Apply now
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Blog Thumbnails   New Size (14) risk and compliance
Risk and compliance talent market: Insights for employers and job seekers 

​As businesses face increasingly complex regulatory landscapes and emerging risks, the risk and compliance sector continues to evolve rapidly. We sat down with Jack Johnson, Business Director for IDEX Consulting’s Risk and Compliance division to discuss current market trends, employer challenges, and strategies for attracting top talent in this competitive field.The evolving global risk and compliance landscapeThe global risk and compliance market has experienced unprecedented growth in recent years. According to Fortune Business Insights the global market is projected to hit $75.24 billion by 2028, with a compound annual growth rate (CAGR) of 14% (Fortune Business Insights: Enterprise Governance, Risk & Compliance market trends). This expansion reflects the increasingly complex regulatory environment facing businesses worldwide, driven by technological disruption, geopolitical tensions, and evolving regulatory frameworks.In the UK specifically, the risk and compliance sector has seen robust growth, with the market valued at over £8 billion in 2023 and expected to reach over £13billion by 2028. Economic forecasts predict market projections to grow at a compound annual growth rate (CAGR) of 12.1% from 2024 to 2030. The business impact of compliance failures has never been more severe. Research shows that companies who experience compliance breaches often see a drop in their market value. In a report by Chubb, leading insurance provider, “74% of executives at large companies [cited] cybersecurity as the top risk to growth, with 40% reporting that cyber breaches and data leaks have been the most disruptive and financially burdensome man-made threats” (Chubb: Chubb report reveals cybersecurity as leading risk threatening business growth). Market trends "The Risk and Compliance market is now seen very much as a value-add service and critical for businesses to achieve their growth targets," says Jack. "The days of viewing risk and compliance as a mere tick-box exercise are long gone, and the barrier to entry is far greater than ever before."This shift has influenced hiring patterns, with organisations prioritising quality over quantity and seeking commercially minded professionals with modern approaches. "Clients are looking for professionals who can bring strategic insights alongside technical expertise," Jack adds. Recent market dynamics have created specific talent demands across specific sectors. "We've seen significant M&A activity across insurance and financial services, which has increased the need for professionals with M&A experience, whether in due diligence or integration.”Several risk areas continue to dominate the compliance landscape:" Climate risk, ESG, and data privacy remain critical concerns. Professionals experienced in implementing controls and frameworks for these risk events are always well received. This is particularly true of Consumer Duty, where employers are looking for people with specific knowledge and expertise of changing regulations and requirements.”Talking of future trends, Jack emphasises how technology will unsurprisingly continue to reshape the sector. "The biggest trend and expectation throughout 2025 will continue to be automation and AI. Clients are seeking greater results in quicker, more cost-effective ways—whether that's real-time monitoring, improving customer outcomes, or increasing efficiencies in new business. If you're not demonstrating interest and understanding of automation and AI, you'll be left behind."What should employers prepare for?When asked what employers should anticipate for the remainder of the year, the war for talent remains a key challenge with Jack highlighting that the best candidates will likely be considering two or three job options simultaneously. This competitive landscape places increasing demands on hiring processes. "Your processes must be super slick to attract the best people, and your proposition and offers need to back up your interview style. Be prepared that candidates will no longer accept substandard interview processes, and the reputational risk far outweighs the time it takes to run a good process."Jack’s five tips for attracting top talent For organisations looking to secure the best risk and compliance professionals, our Jack offers five strategic recommendations:Ensure your recruitment process is slick - Improve your recruitment processes and time to hire. Work collaboratively with agencies and ensure your hiring managers are engaged and committed to hiring.Make decisions quickly - Don't sleep on speculative talent. The value a strong candidate can offer is better than waiting months for approval. If you see someone you like, push to make it happen.Strengthen your employer branding - Business and employer branding really is key. Professionals conduct thorough research and due diligence on potential employers before applying.Partner with a qualified recruiter - For key positions, perception is reality. Taking the time to retain an agency and ensure the correct message goes to market has a lasting impression.Review and optimise your hiring strategy - Don't be shocked when the best talent have multiple options. If you want the best people, you have to beat the best companies.Common hiring mistakesThere are a number of critical errors, Jack says, that employers routinely make during recruitment:"Poor recruitment processes and extended time-to-hire continue to be major issues for employers, when securing the best talent in the market. Generic job descriptions and uninspiring company branding also significantly limit candidate interest."Perhaps most importantly, he says, "Not providing feedback on interviews and failing to supply adequate information ahead of interviews is a serious misstep. If someone is giving you their time, the least you can do is let them know what to expect."What candidates value mostToday's risk and compliance professionals have evolved priorities beyond compensation alone:"In my ten years working in risk and compliance, I've never had so many people talk to me about job satisfaction. People want to enjoy where they work and like the people they work with. It’s important for employers to take this into consideration during the interview process and include specific questions around it."Autonomy and flexibility continue to be crucial. "The best candidates still managed to excel during COVID lockdowns. They know what they're doing, so don't bring them back into micromanagement environments. Trust them, and they will repay the favour in bucket loads."While culture and flexibility matter enormously, financial packages remain important. "Particularly the softer benefits. HR teams need to ensure they're staying competitive with pension and insurance benefits."Why partner with IDEX Consulting for your talent needs When asked about the value of partnering with specialised recruiters like IDEX, Jack talks ofIDEX’s unique reputation in the market, as well as the consultancy’s ability to act as an extension of a client’s internal team: "We are experienced head-hunters representing only the best candidates in the market. We partner incredibly closely with a client, taking real care to understand their business and exactly what they’re trying to achieve – this helps us to offer genuine tailored solutions to their recruitment needs. This might mean first assessing a client’s ‘brand story’ and hiring approach to identify enhancements where we can bring company culture and the job to life. Following that, we’re able to leverage our 20 years plus database, cutting edge technology, market sentiment reports and knowledge to provide access to the best talent.”As the risk and compliance landscape continues to evolve in 2025, organisations that strengthen their authentic storytelling, streamline their hiring processes and move fast will be best positioned to secure the talent they need to navigate an increasingly complex regulatory environment.​ReferencesChubb: Chubb report reveals cybersecurity as leading risk threatening business growthFortune Business Insights: Enterprise Governance, Risk & Compliance market trendsGartner: 5 compliance trends and priorities for 2025PWC: Global Compliance survey 2025

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2024 Risk & Compliance market outlook

​We spoke to Jack Johnson, Business Director, about the Risk, Governance and Compliance market. Jack shares his thoughts below on current market trends, factors affecting hiring, in demand roles and skills, and what businesses and professionals need to be aware of, for the remainder of the year.For advice on the Risk, Governance and Compliance market, support with your hiring strategy or guidance on finding a new role, contact Jack. What specific trends have you seen in your market?The Consumer Duty deadline (July 31st) meant there was a big push for conduct risk professionals in the market, we also saw Lloyd’s clients opening up their searches to retail P&C professionals. Although M&A in insurance was down last year, we have seen a spike in compliance and risk professionals with M&A experience, particularly from a policy and framework perspective. This could be due to the activity of 2022 having a knock-on impact on the market.Salaries in the industry have slowed down post the COVID boom. Although we are still seeing competitive counter offers, we are also now starting to see professionals move roles laterally or for smaller wage increases, which was not the case during COVID. Counter-offers are a short-term fix for a long-term problem with many candidates registered with IDEX, having accepted counter offers in the last two years.What factors have affected talent attraction and retention in the past 12 months?Back to work policies remain a focus for employers. There is a push for a more structured hybrid working model, with businesses enforcing on average two days in the office, and three working from home. Some businesses have gone further with three to four days in the office.Post the COVID boom, there was always going to be a slightly quieter market. We are now seeing the importance more so than ever, of proactive resources. With direct applications reducing in number and quality, the majority of placements are now through proactive sourcing methods.Which roles are most likely to be in demand and why?Roles in technology and automation are still high in demand. Whether that’s to support the automation of polices or the new risks associated with cyber and technology risk. This will remain a growth area for the industry. As consumer duty continues to impact businesses and associated roles remain important, professionals with strong conduct experience will remain in demand. What skills are in-demand for professionals wanting to work in this market?Professionals with project exposure are always in demand. With businesses going through large transformation projects, organic growth or through M&A, clients are often looking for experienced professionals who can deliver on risk and compliance policy changes. This is also replicated with the heighted focus on regulation.What do clients and professionals need to be aware of throughout the remainder of 2024?You will often hear the phrase ‘talent shortage’ or ‘war for talent’. I would disagree with these statements and say there is some exceptional talent in the market, but you just have to be looking in the right places, making sure you have the most attractive proposition in the market. It is very competitive, so you need to have the smoothest processes and the slickest onboarding offering to attract the best candidates.For professionals it’s important to be flexible and prepared for every interview.Counter-offers are rife but always remember why you were initially thinking of leaving. In any sort of exit from a business everyone is considering their own options, so make sure you do what is best for you and not what is going to make your boss’ life easier in the short term. About JackJack leads our Risk, Governance and Compliance division for IDEX, recruiting Risk, Actuarial and Compliance professionals across the UK and internationally. He has an excellent network of candidates and clients in the Insurance (Broker, Lloyds, P&C and Life Insurance) and Financial Services (Wealth, Asset Management and Financial Planning) industry.For advice on the Risk, Governance and Compliance market, support with your hiring strategy or guidance on finding a new role, contact Jack.  ​

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Meet the Risk & Compliance Experts

Jack Johnson

Jack Johnson

  • Jack Johnson

    Business Director & Regional Manager

    ​Mobile: 07795 571 723 | E-mail: jack.johnson@idexconsulting.com​Jack has nine years’ experience recruiting Risk, Actuarial and Compliance professionals in the UK. He has worked...

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  • Jack Johnson