Compliance File Reviewer

JR United Kingdom; Colchester; Remote; GBP 30,000 - 40,000; Full time

Job summary

A forward-thinking IFA firm is seeking a meticulous and experienced Level 4 Qualified File Reviewer to join their home-based compliance team. In this critical role, you will ensure high standards of regulatory compliance and client care through thorough file reviews and constructive feedback. Strong knowledge of FCA regulations and previous experience in compliance or paraplanning are essential for this position.

Qualifications

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

Responsibilities

• Conduct thorough pre- and post-sale reviews of client files.
• Identify and flag potential risks and improve advice suitability.
• Maintain accurate records of all reviews.

Skills

Attention to detail

Regulatory compliance

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:

1. Conducting thorough pre- and post-sale reviews of client files to assess advice suitability, quality, and adherence to FCA regulations.
2. Identifying and flagging potential risks or areas for improvement.
3. Providing constructive feedback to advisers in a supportive and professional manner.
4. Keeping up-to-date with FCA regulations and internal policies.
5. Contributing to the development and delivery of internal training as required.
6. Maintaining accurate records of all reviews and follow-up actions.

To apply, you should have:

• Qualified to Level 4 Diploma in Financial Planning (or equivalent).
• Previous experience in file review, compliance, or paraplanning within an IFA environment.
• Strong knowledge of FCA requirements and industry best practices.

Due to the high volume of applications, 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.