Location: Remote with travel Sector: Financial Planning / Wealth Management Type: Full-time Are you a compliance professional with a Level 4 Diploma in Financial Planning? IDEX are currently working with a financial planner in their search for a Compliance Officer , you will play a critical role in ensuring regulatory excellence, conducting file reviews, and embedding Consumer Duty principles across the organization. About the Role: As Compliance Officer, you will provide expert regulatory guidance, perform detailed file reviews, and support the business in adhering to all FCA requirements. This is a hands-on role within a dynamic team, ensuring compliance frameworks are robust and aligned with the highest industry standards. With Consumer Duty shaping the future of financial planning, this role offers the opportunity to make a meaningful impact on client outcomes while supporting the growth and integrity of the business. Key Responsibilities: Regulatory Compliance: Monitor and ensure compliance with FCA regulations, particularly focusing on Consumer Duty obligations. File Reviews: Conduct thorough reviews of client files, identifying areas for improvement and ensuring adherence to regulatory and company standards. Guidance&Support: Provide compliance advice to financial planners and other stakeholders to support the delivery of high-quality, compliant advice. Policy Development: Assist in the creation, implementation, and updating of compliance policies and procedures. Training&Awareness: Deliver training to team members on compliance requirements and Consumer Duty principles. Audit&Reporting: Support internal and external audits, preparing compliance reports for senior management. What We’re Looking For: Qualifications: Level 4 Diploma in Financial Planning is essential. Experience: Proven experience in a regulatory compliance role within a financial planning or advisory business. Technical Knowledge: Strong understanding of FCA regulations, file review processes, and Consumer Duty obligations. Attention to Detail: Ability to identify and address compliance risks with precision and thoroughness. Communication Skills: Excellent verbal and written communication, with the ability to provide clear, actionable feedback to stakeholders. Problem-Solving: A proactive and pragmatic approach to addressing compliance challenges.