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Compliance Officer

  • Salary: £40000 - £45000 per annum
  • Location: Leicester, Leicestershire
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    29 May 2018
  • Job reference: 29756


The purpose of the role is to be the lead Compliance Officer responsible for second line of defence oversight of the group investment services division. You will be required to contribute to the creation of an effective compliance culture within the organisation, through the provision of sound regulatory advice and a structured risk-based monitoring programme.


  • Conduct audits and monitoring of systems for risk activities to ensure the team are delivering best outcomes for clients
  • Ensure that the team's processes and procedures are kept up to date
  • Provide consultancy work along with the compliance team to assist the investment division to implement and incorporate FCA rules and regulations
  • Escalate any sensitive issues to the appropriate level in the organisation
  • Monitor and review the implementation of recommendations with the investment division
  • Proactively audit/monitor the core portfolios, ensuring transactions are executed in-line with group best practice
  • Proactively audit/monitor the in-house fund of funds
  • Provide reporting of audits to internal and external parties
  • Ensure that the relevant record keeping rules are maintained


  • Demonstrate experience in monitoring and reviewing the provision of investment services, preferably in a compliance role
  • Detailed regulatory knowledge, covering the conduct of business (COBS), collective investment scheme (COLL) and investment funds (FUND) source books. Knowledge of other FCA source books will be an advantage
  • Strong awareness of regulatory developments
  • Strong product knowledge including pensions and investment products such as structured product funds and OEICs
  • Ability to analyse and communicate regulatory change to the investment division


  • Investment Management Certificate (IMC)
  • Diploma in Financial Planning (Desirable)

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.

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