IDEX Consulting Ltd
Technical Compliance Manager
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A leading and growing wealth management business is looking to appoint a technically strong financial-planning professional into its Compliance function, taking responsibility for providing 2nd line technical oversight and assurance of its 1st line checking framework.
This is a newly created and highly technical role, sitting between traditional Compliance and an internal audit-style assurance function.
The business has a strong team of financial advisers providing complex advice across areas including pensions, pension transfers, retirement planning and inheritance tax. That advice is subject to review by a dedicated 1st line checking team.
The purpose of this role is to provide an additional layer of independent technical challenge – checking the checkers and ensuring that the firm's policies, guidance and controls remain robust, effective and fit for purpose.
The Role
You will provide independent 2nd line oversight of the firm's existing checking and assurance processes, using your technical expertise to identify weaknesses, challenge existing approaches and ensure the business continues to operate to a high technical and regulatory standard.
Your Responsibilities Will Include:
- Reviewing the work and conclusions of the 1st line checking team.
- Providing independent technical challenge and assurance.
- Assessing whether the firm's checking methodology and controls are sufficiently robust.
- Identifying technical gaps, inconsistencies and areas of regulatory risk.
- Reviewing and challenging policies, procedures and technical guidance.
- Ensuring guidance remains aligned with FCA requirements and good industry practice.
- Providing technical input into complex areas of financial advice, including pensions, pension transfers, retirement planning and inheritance tax.
- Identifying trends and recurring issues arising from 1st line checking activity.
- Recommending improvements to controls, processes and technical standards.
- Working closely with Compliance, advisers and senior stakeholders to drive continuous improvement.
- Providing senior management with confidence that the 1st line checking framework is operating effectively.
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About You
This role would suit a Chartered Financial Planner or highly technically qualified financial-planning professional who wants to move into a more independent assurance, risk and compliance-focused position.
You will have a strong technical understanding of the financial advice process and be comfortable assessing whether advice and the controls surrounding it are technically sound.
You'll ideally have experience in one or more of the following:
- Technical financial planning
- Compliance / technical compliance
- Advice checking or file review
- 2nd line risk or compliance
- Quality assurance / technical assurance
- Internal audit within a financial-planning or wealth management environment
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Most importantly, you will be someone who can understand complex financial advice, challenge the rationale behind it and assess whether the controls and checking processes surrounding it are genuinely effective.
You will need the technical credibility to challenge both advisers and experienced compliance professionals, alongside the judgement to distinguish between genuine areas of risk and issues that require proportionate intervention.
What Makes This Role Different?
This isn't a traditional compliance monitoring position, nor is it an audit role. You will be operating at 2nd line, providing independent technical oversight of the people responsible for checking advice at 1st line.
It's an opportunity for a technically strong Chartered Financial Planner to use their expertise in a broader risk, governance and assurance capacity, helping shape the standards, policies and controls that underpin the firm's advice proposition.
If you're a technically strong financial planner looking to move into a senior 2nd line technical compliance and assurance role, we'd be keen to hear from you.
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