Compliance File Reviewer

JR United Kingdom; Bath; Remote; GBP 30,000 - 45,000; Full time

Job summary

A forward-thinking IFA firm is looking for a home-based Level 4 Qualified File Reviewer to join their compliance team. You'll ensure the high standards of regulatory compliance by conducting thorough reviews of client files, assessing quality of advice, and adhering to FCA regulations. This role involves providing feedback to advisers while keeping up-to-date with industry regulations and internal policies.

Qualifications

• Qualified to Level 4 in Financial Planning or equivalent.
• Previous experience in file review, compliance, or paraplanning.
• Strong knowledge of FCA requirements.

Responsibilities

• Conduct pre- and post-sale reviews of client files.
• Identify and flag potential risks or areas for improvement.
• Provide feedback to advisers and maintain accurate records.

Skills

Regulatory Compliance

Attention to Detail

Constructive Feedback

Education

Level 4 Diploma in Financial Planning

Job description

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Our client, a forward-thinking IFA firm, is seeking a meticulous and experienced home-based Level 4 Qualified File Reviewer to join their compliance team and ensure the continued excellence and integrity of their advice process.

As a File Reviewer, you will play a critical role in maintaining high standards of regulatory compliance and client care. Your responsibilities include conducting thorough reviews of client files to assess suitability, quality of advice, and adherence to FCA regulations.

Role & Responsibilities:

• Conduct pre- and post-sale reviews of client files to ensure advice suitability and regulatory compliance
• Identify and flag potential risks or areas for improvement
• Provide constructive feedback to advisers in a supportive and professional manner
• Keep up-to-date with FCA regulations and internal policies
• Contribute to the development and delivery of internal training as required
• Maintain accurate records of all reviews and follow-up actions

Requirements:

• Qualified to Level 4 Diploma in Financial Planning (or equivalent)
• Previous experience in a file review, compliance, or paraplanning role within an IFA environment
• Strong knowledge of FCA requirements and industry best practices

Due to the high volume of applications received, we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.