Compliance File Reviewer

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

Job summary

A leading financial advisory firm is seeking a Level 4 Qualified File Reviewer to join their compliance team. This role requires conducting thorough client file reviews, ensuring advice suitability and regulatory compliance, while contributing to internal training and maintaining high standards in client care.

Qualifications

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

Responsibilities

• Conduct pre- and post-sale reviews of client files for compliance.
• Provide constructive feedback and identify improvement areas.
• Maintain accurate records of reviews and actions.

Skills

Regulatory compliance

Client care

Risk assessment

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. 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 practices

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.