Head of Compliance

The Role:As the Head of Compliance, you will play a crucial role in ensuring the firm operates in line with regulatory standards while fostering a strong compliance culture. Reporting directly to the Managing Director, you will lead the compliance function, including oversight of a small team, which includes two experienced file checkers. This role is ideal for a compliance professional looking for flexibility, as you can structure your 3 days a week to suit your requirements.

Key Responsibilities:

• Oversee the compliance framework, ensuring all processes and policies meet FCA requirements.
• Provide leadership and support to the compliance team, including mentoring two file checkers.
• Take on SMF16 and SMF17 responsibilities, either immediately or in the future.
• Conduct regular audits and reviews to ensure the suitability of advice and adherence to best practices.
• Collaborate with the MD to promote a culture of compliance and continuous improvement.
• Stay up-to-date with regulatory changes and implement necessary updates to policies and procedures.

What We're Looking For:

• Experience: Strong background in compliance within the Financial Planning / IFA sector.
• Qualifications: Level 4 Diploma in Financial Planning (or equivalent) is desirable.
• Leadership Skills: Proven ability to lead and develop a team.
• Regulatory Knowledge: In-depth understanding of FCA regulations and their practical application within financial planning.
• Flexibility: A professional who values autonomy and can manage their time effectively in a part-time role.

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Our Diversity, Equity and Inclusion Mission

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.