Compliance File Reviewer

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

Job summary

A leading financial advisory firm seeks an experienced Compliance File Reviewer to ensure regulatory compliance and client care excellence. This home-based role involves conducting thorough file reviews, providing feedback, and staying current on FCA regulations. The ideal candidate will hold a Level 4 Diploma in Financial Planning and have relevant experience in an IFA setting.

Qualifications

• Experience in file review or compliance role within an IFA environment.
• Strong knowledge of FCA requirements and industry best practices.

Responsibilities

• Conduct pre- and post-sale reviews of client files.
• Identify potential risks or areas for improvement.
• Provide feedback to advisers.

Skills

Regulatory Compliance

Attention to Detail

Constructive Feedback

Knowledge of FCA Regulations

Education

Level 4 Diploma in Financial Planning

Job description

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Compliance File Reviewer, hemel hempstead

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Client:

Clayton Davies

Location:

hemel hempstead, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

4

Posted:

31.05.2025

Expiry Date:

15.07.2025

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Job Description:

? Home Based

Our client, a forward thinking IFA firm, are 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: ?

• 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.