Job description
We are looking for a proactive and detail-oriented Business Assurance Support to join our team on a 12-month fixed-term contract. This role will support the Business Assurance Manager in identifying risks, supporting Advisers and ensuring compliance across the group.
Key responsibilities
- Collate and analyse Adviser suitability results (ongoing and new) and implement further reviews where required to maintain quality and compliance
- Support the Business Assurance Manager in monitoring Advisers' ongoing suitability, highlighting exceptions, overdue reviews and escalating issues where necessary
- Assist Advisers requiring additional support through Adviser improvement plans, conducting pre- and post-file reviews and liaising with the T&C Manager as needed
- Liaise with the risk & compliance team and external parties on advice construction and monthly file checks across the private client team
- Carry out spot checks on various team processes (e.g., new business register, pipeline) to identify risks or training needs
- Review and update the Adviser procedure manual, ensuring processes and responsibilities (e.g., vulnerable clients, PEPs, fee discount register) are clear and up to date
- Develop and deliver training plans for new Advisers, ensuring full understanding of procedures and regulatory responsibilities
- Coordinate monthly business assurance meetings, raising risks and ensuring follow-up actions are completed
- Stay up to date with FCA rules and regulations, providing support on Consumer Duty and Product Governance when required
Knowledge & experience
- Strong understanding of suitability advice file standards
- Good knowledge of the UK regulatory system, particularly advisory-related areas
- Minimum of 3 years' experience in the Financial Planning & Investment industry
- Working knowledge of Xplan (preferred)
- Proficient in Excel and data handling
Qualifications
- Level 4 Diploma in Financial Services (or working towards this) or equivalent
This is a fantastic opportunity to play a key role in maintaining compliance, supporting adviser development and strengthening business assurance within a professional and forward-thinking team.
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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.
