Compliance File Reviewer

JR United Kingdom; Gloucester; Remote; GBP 35,000 - 45,000; Full time

Job summary

Une entreprise de conseil financier dynamique recherche un examinateur de fichiers qualifié de niveau 4 pour garantir l'excellence de leurs processus. Vous jouerez un rôle essentiel dans la conformité réglementaire et la qualité des conseils fournis aux clients. Ce poste exige une attention minutieuse aux détails et un solide bagage en régulation financière.

Qualifications

• Qualifié au niveau 4 ou équivalent.
• Expérience en révision de fichiers, conformité ou paraplanification.
• Connaissance forte des exigences FCA et des meilleures pratiques du secteur.

Responsibilities

• Effectuer des examens pré et post-vente des fichiers clients pour garantir la conformité.
• Identifier les risques potentiels ou les axes d'amélioration.
• Fournir des retours constructifs aux conseillers.

Skills

Connaissance des exigences FCA

Compétences en rétroaction constructive

Education

Diplôme de Niveau 4 en Planification Financière

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 will include 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 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.