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Compliance Officer

  • Salary: £28000 - £32000 per annum + Benefits + Bonus
  • Location: City of London, London
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    30 Nov 2018
  • Job reference: 31653

My client is looking for an Assistant Compliance Manager to join their continuously growing chartered practice. This position supports and reports directly to the Head of Compliance, providing the fantastic opportunity for direct development and progression.


  • Carrying out file reviews
  • Maintaining compliance logs
  • Maintaining FCA standard data
  • Making regulatory applications
  • Monitoring data protection activities
  • Monitoring financial crime prevention activities
  • Monitoring CPD and T&C records
  • Monitoring stationary and other documentation for regulatory compliance
  • Monitoring financial promotions for regulatory compliance
  • Staff on-boarding
  • Dealing with complaints
  • Regulatory returns
  • Maintenance of regulatory content of advice letters
  • Maintenance of procedures manual
  • Dealing with other compliance issues as they arise

To be successful you will need

  • Broad compliance knowledge and experience in a similar position
  • A real interest in pursuing a compliance career
  • Ideally working towards Level 4 financial services qualification
  • Experienced with an FCA regulated organisation, preferably an IFA environment
  • Knowledge of FCA rules and regulation
  • Some experience of reviewing suitability reports for financial planning
  • High level of attention to detail
  • Strong organisation skills

If successful, you will benefit from:

  • A salary of £32,000
  • Discretionary annual bonus
  • Christmas office closure
  • Working directly with the Compliance Manager and the CF10 Compliance Director to provide your career with development and direction
  • Formal training program will be provided
  • Annual away-day
  • A small team, led by supportive Directors who listen and appreciate
  • Company pension contribution

This is an excellent opportunity to progress your career with a professional practice, who have an excellent reputation for employee well-being. If you match my client's requirements and you would be interested in progressing your career to Head of Compliance, then send across your CV and we will be in touch!

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful, we aim to contact you to discuss the opportunity in more detail within 2 working days. 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. If your application is unsuccessful, the information supplied may still 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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