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Compliance Advisor

  • Salary: £29840 - £44760 per annum
  • Location: Potters Bar, Hertfordshire
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    09 Jan 2018
  • Job reference: 30159

To provide advice to the business on how well key conduct risk control processes deliver intended business and regulatory outcomes by conducting reviews and audits across the company in a timely, professional and business focused manner. Work with business to ensure that new, material control processes required as a result of business change initiatives also deliver their intended outcomes. Follow through to ensure that the business appropriately addresses any shortcomings.


Detailed working knowledge of the regulatory requirements, particularly the FSA (or successor organisations') handbook. Have the ability to interpret rules, principles and guidance for the business.

Able to plan, manage and conduct audits and reviews with minimum supervision.

Sound judgement in balancing regulatory requirements with business needs.

Able to complete reviews and audits and present findings in a timely and focused way.

Maintain effective working relationships with colleagues and other governance functions.

QUALIFICATIONS

Degree level qualification or equivalent preferred but not essential.

Have or working towards a financial services or regulatory qualification.

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.

Our clients include: