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A leading national Independent Financial Advisory (IFA) firm is looking for an experienced Compliance Manager to provide maternity cover for 9 months. This is a fantastic opportunity to join a well-established and growing financial planning business, working closely with senior leadership and ensuring regulatory excellence across the firm. The RoleReporting directly to the CEO, you will play a key role in maintaining and enhancing the firm's compliance framework. 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.
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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.
