Compliance File Reviewer

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

Job summary

Une entreprise IFA dynamique recherche un File Reviewer qualifié pour rejoindre leur équipe de conformité. Le candidat idéal assurera l'intégrité des processus d'advice en effectuant des examens minitieux des dossiers clients, garantissant ainsi la conformité avec les règlements de la FCA. Ce rôle est essentiel pour maintenir les standards haut de l’entreprise et offre une opportunité de contribuer au développement de la formation interne.

Qualifications

• Diplôme de niveau 4 en planification financière ou équivalent.
• Expérience antérieure en révision de fichiers ou conformité dans un environnement IFA.
• Solide connaissance des exigences de la FCA et des bonnes pratiques du secteur.

Responsibilities

• Effectuer des examens pré et post-vente des dossiers clients pour assurer la conformité.
• Identifier les risques potentiels ou les domaines à améliorer.
• Fournir des retours constructifs aux conseillers.

Skills

Regulatory Compliance

Attention to Detail

Client Care

Feedback 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 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:

• 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

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.