Compliance File Reviewer

JR United Kingdom; London; Remote; GBP 40,000 - 50,000; Full time

Job summary

Une entreprise innovante dans le secteur financier recherche un examinateur de dossiers qualifié Niveau 4 pour rejoindre leur équipe de conformité. Dans ce rôle, vous êtes responsable de garantir la conformité réglementaire et la qualité des conseils fournis aux clients. Vous réaliserez des révisions approfondies des dossiers clients et travaillerez en étroite collaboration avec les conseillers pour améliorer les pratiques et maintenir les normes élevées exigées par la FCA.

Qualifications

• Qualifications de niveau 4 en Planification Financière ou équivalent.
• Expérience antérieure en révision de dossiers ou conformité dans un environnement IFA.

Responsibilities

• Effectuer des révisions préalables et postérieures des dossiers clients pour assurer la conformité.
• Fournir des retours constructifs aux conseillers de manière professionnelle.

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’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:

1. Conduct pre- and post-sale reviews of client files to ensure advice suitability and regulatory compliance.
2. Identify and flag potential risks or areas for improvement.
3. Provide constructive feedback to advisers in a supportive and professional manner.
4. Keep up-to-date with FCA regulations and internal policies.
5. Contribute to the development and delivery of internal training as required.
6. 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 practices.

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.