Risk & Compliance

I am currently looking for an experienced Compliance Specialist to join a SME who are within the wealth/asset management industry! This company has seen significant success over recent years and is currently undergoing a acquisition phase within their compliance department. This position is a hands-on compliance specialist role that would suit someone who has experience as a Compliance Manager, working within the asset management industry. Responsibilities: To lead and oversee the investment compliance sector of the business. Developing regulatory compliance policies and procedures. Advise on regulatory issues Provide 2nd line challenge and oversee the investment team Take lead and manage projects. Look at ways to improve the business and provide guidance where necessary. Benefits: 30% BONUS Competitive salary package Private healthcare If this role sounds like it could be for you, and you would like some more information please send your CV to Samantha.durbridge@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.

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.

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, or threesixty's, 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.

I am currently looking for an experienced Compliance Officer to join an insurance broker! This company has seen significant success over recent years and is currently undergoing an acquisition phase within their compliance department. The right candidate will need experience in the broking sector and have experience as a Compliance professional. Key Responsibilities: Provide expert advisory support to the business. Handle complaints, breaches, and financial promotions. Conduct document reviews and manage investigation handling. Oversee market approval sign-offs. The company offer great benefits including remote/flexible working arrangements and a competitive benefits package. If this role sounds like it could be for you, and you would like some more information please send your CV to Samantha.durbridge@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.

I am currently looking for an experienced Compliance Officer to join an insurance broker! This company has seen significant success over recent years and is currently undergoing an acquisition phase within their compliance department. The right candidate will need experience in the broking sector and have experience as a Compliance professional. Key Responsibilities: Provide expert advisory support to the business. Handle complaints, breaches, and financial promotions. Conduct document reviews and manage investigation handling. Oversee market approval sign-offs. The company offer great benefits including remote/flexible working arrangements and a competitive benefits package. If this role sounds like it could be for you, and you would like some more information please send your CV to Samantha.durbridge@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.

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.