Compliance File Reviewer

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

Job summary

A leading IFA firm in the UK is seeking a meticulous Level 4 Qualified File Reviewer for a home-based position. The role involves ensuring regulatory compliance and client care excellence by conducting thorough reviews of client files. Candidates should possess strong knowledge of FCA regulations and prior experience in compliance or file review.

Qualifications

• Experience in file review, compliance, or paraplanning.
• Knowledge of FCA requirements and best practices.
• Meticulous and detail-oriented.

Responsibilities

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

Skills

Regulatory compliance

Client care

Risk identification

Feedback provision

Education

Level 4 Diploma in Financial Planning

Job description

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. 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 high application volume, we are unable to respond to all applicants 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.