Compliance File Reviewer

JR United Kingdom; Liverpool; Remote; GBP 40,000 - 55,000; Full time

Job summary

A forward-thinking IFA firm is seeking a meticulous Level 4 Qualified File Reviewer to ensure regulatory compliance and client care. In this home-based role, you'll review client files and provide feedback while keeping abreast of FCA regulations. Your expertise in financial planning and compliance will contribute to maintaining high standards of service.

Qualifications

• Qualified to Level 4 Diploma in Financial Planning or equivalent.
• Experience in file review, compliance, or paraplanning role.
• Strong knowledge of FCA requirements.

Responsibilities

• Conduct pre- and post-sale reviews of client files.
• Identify potential risks and provide feedback.
• Keep up-to-date with FCA regulations.

Skills

Regulatory compliance

Attention to detail

Client care

Education

Level 4 Diploma in Financial Planning

Job description

Social network you want to login/join with:

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 include 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.