Compliance File Reviewer

Clayton Davies; Remote; GBP 60,000 - 80,000; Full time

Job summary

A leading wealth management firm seeks an experienced File Reviewer to join their compliance and quality assurance team. This home-based role involves conducting detailed file reviews to ensure compliance with FCA standards. Candidates must possess a Level 4 Diploma in Regulated Financial Planning and experience in file-checking or compliance. Strong understanding of financial products and regulatory expectations is essential. The role supports continuous improvement through feedback to advisers and identifies training needs for enhanced compliance.

Qualifications

• Essential Level 4 diploma in Regulated Financial Planning.
• Experience in file-checking or compliance role in wealth management.
• Understanding of financial planning products and suitability requirements.

Responsibilities

• Conduct comprehensive pre- and post-advice file reviews.
• Ensure advice is documented and compliant with FCA rules.
• Provide feedback to advisers for improvement.
• Identify risks and training needs.
• Assist in developing compliance procedures.
• Stay updated on regulatory changes.

Skills

File checking

Compliance knowledge

Financial planning understanding

Analytical skills

Education

Level 4 Diploma in Regulated Financial Planning

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.