Compliance File Reviewer

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

Job summary

A leading IFA firm is seeking an experienced Compliance File Reviewer to join its home-based compliance team. The role involves ensuring regulatory compliance through thorough reviews of client files and offering feedback to advisers. Candidates need a Level 4 Financial Planning qualification and experience in a similar role.

Qualifications

• Qualified to Level 4 Diploma in Financial Planning (or equivalent).
• Strong knowledge of FCA requirements and industry best practices.
• Previous experience in a file review, compliance, or paraplanning role.

Responsibilities

• Conduct pre- and post-sale reviews of client files to ensure advice suitability.
• Identify and flag potential risks or areas for improvement.
• Provide constructive feedback to advisers.

Skills

Regulatory Compliance

Client Care

Attention to Detail

Education

Level 4 Diploma in Financial Planning

Job description

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Compliance File Reviewer, Luton, Bedfordshire

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Client:

Clayton Davies

Location:

Luton, Bedfordshire, 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, 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

Qualifications and Experience:

• 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.