Compliance Contract - Financial Planning

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Compliance Contract - Financial Planning, London (City of London)

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Client:

IDEX Consulting Ltd

Location:

London (City of London), United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

14

Posted:

28.04.2025

Expiry Date:

12.06.2025

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Job Description:

9 month Compliance contract

Fixed Term Contract

London

To be considered for this role, you need Financial Planning / Wealth Management experience.

The Role

Reporting directly to the CEO, you will play a key role in maintaining and enhancing the firm’s compliance framework during a maternity cover contract. You will run the compliance framework and undertake a compliance audit in the summer of 2025. You will also have ownership of regulatory returns. Other key responsibilities include:

• Managing the compliance framework to ensure regulatory adherence and best practice.
• Oversight of file reviews (working alongside an outsourced partner).
• Leading a compliance audit scheduled for Q3, ensuring all regulatory requirements are met.
• Acting as a key compliance advisor to the leadership team.
• Providing compliance guidance and support across the business.

To be successful in this role, you must have:

• Financial planning/IFA compliance experience – a strong understanding of the regulatory landscape.
• Level 4 Diploma in Financial Planning (or working towards it) – highly desirable.
• Experience in managing compliance frameworks and audits.
• The ability to work independently and advise senior stakeholders.