Compliance File Reviewer

Clayton Davies; Remote; GBP 45,000; Full time

Job summary

A leading wealth management firm is seeking an experienced File Reviewer to join their compliance team. The role involves performing detailed file checks to ensure advice meets FCA standards and internal policies. Candidates must possess a Level 4 Diploma in Regulated Financial Planning and have prior experience in a compliance or file-checking role. The position offers a salary of approximately £45,000 plus benefits and is fully home-based.

Benefits

Benefits

Qualifications

• Must hold a Level 4 Diploma in Regulated Financial Planning or equivalent.
• Experience in compliance or file-checking roles is essential.
• Understanding of financial planning products and regulatory expectations is required.

Responsibilities

• Conduct pre- and post-advice file reviews for compliance.
• Document suitability of all advice and ensure FCA compliance.
• Provide feedback to advisers for continuous improvement.
• Identify and report risks and training needs to Compliance Manager.
• Assist in enhancing compliance procedures and guidelines.
• Stay updated on regulatory changes and industry developments.

Skills

File checking

Compliance knowledge

Attention to detail

Education

Level 4 Diploma in Regulated Financial Planning (DipPFS / Equivalent)

Job description

⭐️ File Reviewer

📍 Home Based

💰 c.£45,000+ Benefits

Our client is a leading wealth management firm who are seeking an experienced Level 4 qualified File Reviewer to join their growing compliance and quality assurance team. In this role, you will be responsible for carrying out detailed file checks to ensure all advice provided by their advisers meets FCA standards, internal policies, and industry best practice.

Role & Responsibilities : 📋

• Conduct comprehensive pre- and post-advice file reviews across a range of advice areas, including pensions, investments, protection, and retirement planning.
• Ensure all advice is suitable, clearly documented, and compliant with FCA rules and the firm’s internal processes.
• Provide clear, constructive feedback to advisers to support continuous improvement.
• Identify potential risks, trends, and training needs, reporting findings to the Compliance Manager.
• Assist in developing and refining compliance procedures and guidance documents.
• Maintain up-to-date knowledge of regulatory changes and industry developments.

Do you have the following to apply? ✅

• Level 4 Diploma in Regulated Financial Planning (DipPFS / Equivalent) – Essential.
• Previous experience in a file-checking or compliance role within an IFA or wealth management environment OR an experienced Paraplanner looking to move into a more compliance focussed role.
• Strong understanding of financial planning products, suitability requirements, and regulatory expectations.

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.