Compliance File Reviewer

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

Job summary

A forward-thinking IFA firm is seeking a meticulous home-based Level 4 Qualified File Reviewer to ensure regulatory compliance and client care. The role involves reviewing client files, providing feedback, and contributing to internal training, requiring strong knowledge of FCA regulations and prior experience in compliance-related roles.

Qualifications

• Previous experience in a file review, compliance, or paraplanning role within an IFA environment.
• Strong knowledge of FCA requirements and industry best practices.

Responsibilities

• Conduct pre- and post-sale reviews of client files to ensure advice suitability.
• Identify and flag potential risks or areas for improvement.
• Maintain accurate records of all reviews and follow-up actions.

Skills

Regulatory compliance

Client care

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.

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