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Compliance Assistant - IFA Firm

Job description

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.

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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.