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Compliance Officer

Job description

Our client is looking for a Compliance Officer to review cases completed by their Financial Advice team.

This role will suit someone who has level 4 qualification or is already a file checker and is passionate about helping individuals achieve their financial goals. Full training will be provided.

Role Responsibilities:

  • Ensure client files are in compliance with regulatory standards and internal policies
  • Files submitted and checked via in house back office system
  • Assistance with answering enquiries from advisers by email and telephone
  • Part of a dynamic team reviewing cases


  • Strong communication skills, both verbal and written
  • Level 4 qualification in Financial Advice required (partial completion of appropriate qualifications will also be considered)
  • Previous experience in a similar role would be beneficial, although full training provided

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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.