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Compliance Executive

  • Salary: £25000 - £35000 per annum + Benefits
  • Location: Bromsgrove, Worcestershire
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    26 Sep 2019
  • Job reference: 33311

Working for a national IFA, offering the opportunity to learn train and progress alongside an attractive salary and benefits including flexible working, compressed hours and an attractive health and wellness package.

This is an exciting role for candidates from a Junior Compliance or Trainee Paraplanner roles who are looking to move into a compliance position. The role is to develop techniques and identify key risk exposures for the firm to minimise regulatory impact.


  • Keep up-to-date with regulatory change through self-study
  • Contribute to the maintenance and completion of the annual compliance monitoring programme
  • Participate in the ongoing management of the firm's insurance portfolio
  • Complete the regulatory reporting for all firms within the group. This is including, but not limited to, GABRIEL firm reporting, fees returns and collating information for FCA thematic or ad-hoc requests
  • Review financial promotions material
  • Assist in the implementation of regulatory policy and procedural change
  • Involvement in implementation of regulatory project actions under the direction of the senior members of the team


  • Working towards Level 4 Diploma
  • FCA regulatory work experience
  • Excellent communication, organisation and prioritisation skills
  • Self-motivation and ability to work both independently or collaboratively is essential
  • Ability to work within an environment that is fast-paced with competing priorities

Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 3 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.

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