Compliance File Reviewer

JR United Kingdom; Cardiff; Remote; GBP 35,000 - 50,000; Full time

Job summary

A forward-thinking IFA firm is seeking a meticulous Level 4 Qualified File Reviewer to enhance their compliance team. The role entails conducting thorough reviews of client files to ensure adherence to FCA regulations and high standards of client care. This position is home-based and crucial for maintaining quality advice processes within the firm.

Qualifications

• Qualified to Level 4 Diploma in Financial Planning (or equivalent).
• Previous experience in a compliance or file review role.
• Strong knowledge of FCA requirements.

Responsibilities

• Conduct reviews of client files for advice suitability and compliance.
• Provide feedback to advisers and identify risks.
• Maintain accurate records of reviews.

Skills

Attention to detail

Regulatory compliance knowledge

Analytical skills

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’ll play a critical role in maintaining their 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.