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- Tasks: Support the compliance team with admin tasks and ensure adherence to regulations.
- Company: Join IDEX, a respected financial planning firm in Warwickshire, known for its collaborative culture.
- Benefits: Enjoy a clear career pathway, a supportive team environment, and opportunities for professional growth.
- Why this job: Be part of a positive compliance culture and make a real impact in a growing industry.
- Qualifications: Experience in financial services is preferred; strong attention to detail and communication skills are essential.
- Other info: IDEX values diversity and inclusion, fostering an authentic workplace for all.
The predicted salary is between 28800 - 43200 £ per year.
Are you a detail-oriented, proactive individual looking to build a career in compliance within a growing financial planning firm? This is an exciting opportunity to join a small, collaborative team of three as a Compliance Assistant, with a clear pathway to becoming a Compliance Officer in the future.
Working exclusively with IDEX, our client - a respected financial planning business based in Warwickshire is seeking a motivated professional to support their compliance function and help maintain their high standards across all regulatory frameworks.
What You'll Do:
- Provide day-to-day administrative support to the compliance team.
- Assist with file checking, risk assessments, adviser observations and compliance reporting.
- Monitor and support adherence to FCA rules, Consumer Duty, and internal procedures.
- Help maintain policies, logs, and training records.
- Assist with complaint handling, regulatory audits, and firm-wide compliance communications.
- Contribute to embedding a positive compliance culture across the business.
What We're Looking For:
- Ideally, experience within a financial planning or wealth management environment.
- Previous administrative experience in Financial Services - compliance experience a bonus.
- Strong understanding (or appetite to learn) about FCA regulations and the responsibilities of Financial Advisers.
- Detail-focused with high levels of accuracy and confidentiality.
- Positive, service-led approach with a willingness to take initiative.
- Strong communication and organisational skills.
Visit the IDEX Consulting Ltd website for further opportunities.
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.
Compliance Assistant employer: IDEX Consulting
Contact Detail:
IDEX Consulting Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Assistant
✨Tip Number 1
Familiarise yourself with FCA regulations and compliance frameworks. Understanding these will not only help you in the role but also show your commitment to the field during interviews.
✨Tip Number 2
Network with professionals in the financial planning and compliance sectors. Attend industry events or join relevant online forums to connect with others who can provide insights and potentially refer you to opportunities.
✨Tip Number 3
Demonstrate your attention to detail in every interaction. Whether it's in conversations or during any preliminary assessments, showcasing your meticulous nature will resonate well with the hiring team.
✨Tip Number 4
Research IDEX Consulting Ltd thoroughly. Understanding their values, culture, and recent developments will allow you to tailor your approach and demonstrate genuine interest in becoming part of their team.
We think you need these skills to ace Compliance Assistant
Some tips for your application 🫡
Understand the Role: Read the job description carefully to understand the key responsibilities and requirements for the Compliance Assistant position. Tailor your application to highlight how your skills and experiences align with these expectations.
Highlight Relevant Experience: If you have experience in financial services or compliance, make sure to emphasise this in your CV and cover letter. Use specific examples to demonstrate your understanding of FCA regulations and your attention to detail.
Craft a Strong Cover Letter: Write a personalised cover letter that showcases your enthusiasm for the role and the company. Mention your proactive approach and willingness to learn, as well as your commitment to maintaining high compliance standards.
Proofread Your Application: Before submitting your application, thoroughly proofread all documents for spelling and grammatical errors. A polished application reflects your attention to detail, which is crucial for a Compliance Assistant role.
How to prepare for a job interview at IDEX Consulting
✨Understand FCA Regulations
Make sure to brush up on your knowledge of FCA regulations and the responsibilities of Financial Advisers. Showing that you have a solid understanding or a keen willingness to learn will impress the interviewers.
✨Highlight Your Attention to Detail
As a Compliance Assistant, attention to detail is crucial. Be prepared to discuss examples from your past experiences where your detail-oriented approach made a difference, especially in administrative tasks.
✨Demonstrate a Service-Led Approach
Emphasise your positive, service-led attitude during the interview. Share instances where you took the initiative to support team members or improve processes, showcasing your proactive nature.
✨Prepare for Scenario Questions
Expect scenario-based questions related to compliance and risk assessments. Practise how you would handle specific situations, such as dealing with complaints or ensuring adherence to internal procedures, to show your problem-solving skills.
