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Compliance Audit Manager

  • Salary: £50000 - £55000 per annum
  • Location: Surrey
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    12 Dec 2017
  • Job reference: 30065

Exciting opportunity to join a leading FS company working as part of a broader compliance team. Occasional travel may be required to other offices based in the UK.


The main areas of responsibility are:

  • The ownership, design and delivery of a risk-based compliance audit programme including the management and supervision of thematic reviews
  • The pro-active identification of risks that the business may fail to meet the standards defined or expected by the Board and FCA


Experience required:

  • Level 4 financial services qualification
  • Proven track record working as a Compliance Audit Manager within a financial advisory company
  • Good working knowledge of the financial services advisory sales process, gained from significant industry experience within at least one diversified financial advisory company
  • Experience of design and delivery of audit reviews
  • Experience of in-depth report writing
  • Knowledge of FCA handbook and principles for business
  • Up to date with recent FCA and FOS precedents and standard industry practice
  • Strong knowledge of products, across investments, pensions, mortgages and protection
  • Strong understanding of TCF and conduct risk


Please contact me for more information.

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: