Compliance File Reviewer

JR United Kingdom; Kingston upon Hull; Remote; GBP 35,000 - 48,000; Full time

Job summary

Une société de services financiers dynamique recherche un réviseur de fichiers qualifié pour rejoindre leur équipe de conformité. Vous jouerez un rôle clé en maintenant les normes élevées de conformité réglementaire en examinant minutieusement les dossiers clients et en fournissant des retours constructifs. Ce poste est à domicile et offre un environnement de travail flexible pour les professionnels expérimentés souhaitant faire une différence dans les pratiques de conseil.

Qualifications

• Expérience en révision de fichiers, conformité ou paraplanning.
• Connaissance des exigences FCA et des meilleures pratiques sectorielles.
• Capacité à donner des retours constructifs aux conseillers.

Responsibilities

• Effectuer des examens de conformité des dossiers clients avant et après-vente.
• Identifier et signaler les risques potentiels ou les domaines à améliorer.
• Tenir à jour des dossiers précis de toutes les révisions et actions de suivi.

Skills

Attention to detail

Regulatory compliance

Client care

Education

Level 4 Diploma in Financial Planning

Job description

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Compliance File Reviewer, kingston upon hull, east yorkshire

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Client:

Clayton Davies

Location:

kingston upon hull, east yorkshire, 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.