Senior 2nd-Line Technical Assurance Consultant

IDEX Consulting Ltd; Birmingham; Vor Ort; GBP 80.000 - 115.000; Vollzeit

Zusammenfassung

IDEX Consulting Ltd is seeking a highly technically qualified financial-planner to join its Compliance function in a senior 2nd line oversight role. You will challenge the 1st line checker outputs, review policies and ensure checks remain robust and regulator-aligned within wealth management guidance.

The role focuses on pensions, transfers, retirement planning and inheritance tax, requiring the ability to identify gaps and drive ongoing improvements in controls and technical standards.

Qualifikationen

• Chartered Financial Planner or highly technically qualified financial-planning professional.
• Strong technical understanding of the financial advice process.
• Experience in 2nd line risk or compliance preferred.
• Ability to challenge 1st line checkers and policies.

Aufgaben

• Reviewing the work and conclusions of the 1st line checking team.
• Providing independent technical challenge and assurance.
• Assessing whether the firm's checking methodology and controls are sufficiently robust.
• Identifying technical gaps, inconsistencies and areas of regulatory risk.
• Reviewing and challenging policies, procedures and technical guidance.
• Ensuring guidance remains aligned with FCA requirements and good industry practice.
• Providing technical input into complex areas of financial advice, including pensions, pension transfers, retirement planning and inheritance tax.
• Identifying trends and recurring issues arising from 1st line checking activity.
• Recommending improvements to controls, processes and technical standards.
• Working closely with Compliance, advisers and senior stakeholders to drive continuous improvement.
• Providing senior management with confidence that the 1st line checking framework is operating effectively.

Kenntnisse

Technical financial planning

2nd line risk

Compliance / technical compliance

Internal audit in wealth management

Ausbildung

Chartered Financial Planner

Jobbeschreibung

IDEX Consulting Ltd is seeking a highly technically qualified financial-planner to join its Compliance function in a senior 2nd line oversight role. You will challenge the 1st line checker outputs, review policies and ensure checks remain robust and regulator-aligned within wealth management guidance.

The role focuses on pensions, transfers, retirement planning and inheritance tax, requiring the ability to identify gaps and drive ongoing improvements in controls and technical standards.