Idex Consulting are looking for a Compliance Analyst to join this growing IFA business.
You must have already experience within wealth management, have your level 4 diploma in financial services (or close to achieving it) and have a keen interest in developing your career in a compliance function.
Your responsibilities will include:
- Monitoring Compliance: Assist in monitoring the firm's compliance with regulatory requirements and internal policies, particularly those related to wealth management.
- Conducting Reviews: Support the review of client files and documentation to ensure compliance with current standards and regulations, including anti-money laundering (AML) and know your customer (KYC) requirements.
- Identifying Issues: Help identify and report any compliance issues or discrepancies, especially those related to high-risk clients and transactions.
- Documenting Findings: Maintain accurate records of compliance reviews and findings.
- Providing Support: Assist in providing feedback and support to advisers and other team members to improve compliance practices.
- Updating Records: Ensure that all compliance records are updated accurately and timely.
- Collaborating with Teams: Work closely with their compliance colleagues to address regulatory concerns and implement necessary changes.
- Reporting: Assist in preparing reports for senior management on compliance activities and any significant issues identified.
- Staying Informed: Keep up to date with changes in financial regulations and industry best practices to ensure ongoing compliance.
- Supporting Audits: Assist in internal and external audits by providing necessary documentation and explanations.
- Creating and Maintaining MI: Develop, maintain, and enhance Management Information (MI) reports to support compliance monitoring and decision-making.
Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 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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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.