Job description
A growing wealth management firm is looking to hire a Compliance Associate to support its day-to-day compliance activities. This is a fully remote role and would suit someone with existing experience in a regulated wealth management or financial planning environment who is looking to develop their career within compliance.
The role is hands-on and operational in nature, focusing on core compliance processes, regulatory reporting and Adviser permissions. You will be trusted to manage tasks independently while working as part of a supportive compliance team.
Key Responsibilities
- Managing daily, weekly and monthly compliance tasks
- Monitoring the compliance inbox and responding to or directing queries
- Completing AML and financial crime checks using SmartSearch
- Carrying out new business risk checks using Intelligent Office (IO)
- Assisting with regulatory returns via RegData
- Supporting Adviser permissions, registrations and updates through FCA Connect
- Liaising with an outsourced file-checking provider and tracking follow-up actions
About You
- Experience within a regulated weath management or financial planning environment
- Some experience or strong exposure to RegData regulatory returns and FCA Connect Adviser permissions (important)
- Comfortable working independently in a remote setting and managing your own workload
- Organised, detail-focused and methodical in approach
- Suitable for someone at Compliance Associate/Junior Compliance Officer level or an Adminstrator looking to build on existing experience
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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.
