Compliance File Reviewer

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

Job summary

A leading IFA firm in the South West London area seeks a Level 4 Qualified File Reviewer to join their compliance team. The role involves assessing client files to ensure regulatory compliance and quality of advice. Candidates must have previous experience in a compliance or file review position and a strong understanding of FCA regulations.

Qualifications

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

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.
• Maintain accurate records of all reviews and follow-up actions.

Skills

Attention to detail

Communication

Knowledge of FCA regulations

Education

Level 4 Diploma in Financial Planning

Job description

Social network you want to login/join with:

Compliance File Reviewer, south west london

Client:

Clayton Davies

Location:

south west london, United Kingdom

Job Category:

Other

EU work permit required:

Yes

Job Views:

4

Posted:

31.05.2025

Expiry Date:

15.07.2025

Job Description:

Home Based

Our client, a forward-thinking IFA firm, is seeking a meticulous and experienced 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.