Compliance File Reviewer

JR United Kingdom; Brighton; Remote; GBP 40,000 - 60,000; Full time

Job summary

Une société IFA innovante recherche un examinateur de dossiers qualifié de Niveau 4 pour rejoindre son équipe de conformité. Ce rôle à domicile est essentiel pour maintenir de hauts standards de conformité réglementaire et de soins envers les clients, et il implique des revues approfondies des dossiers clients pour garantir la qualité des conseils fournis. Le candidat idéal possède une expérience antérieure dans un rôle de conformité et doit être à jour avec les réglementations de la FCA.

Qualifications

• Expérience en révision de dossiers, conformité ou paraplanification dans un environnement IFA.
• Solide connaissance des exigences FCA et des meilleures pratiques du secteur.

Responsibilities

• Effectuer des revues de dossiers clients pour assurer la conformité réglementaire.
• Identifier et signaler les risques potentiels ou les domaines à améliorer.
• Fournir des retours constructifs aux conseillers de manière professionnelle.

Skills

Connaissance des exigences FCA

Évaluation de la conformité

Analyse des risques

Education

Diplôme de Niveau 4 en Planification Financière (ou équivalent)

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’ll play a critical role in maintaining high standards of regulatory compliance and client care. You will be responsible for conducting thorough reviews of client files to assess suitability, quality of advice, and adherence to FCA regulations.

Role & Responsibilities:

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

Do you have the following to apply?

• 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 practice.

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.