Compliance File Reviewer

Clayton Davies Ltd; Manchester; Remote; GBP 40,000 - 55,000; Full time

Job summary

A leading wealth management firm is seeking a Level 4 qualified File Reviewer to join their compliance team. This fully home-based role involves carrying out detailed file reviews to ensure compliant advice and provide feedback to advisers. Candidates must have a Level 4 Diploma in Regulated Financial Planning and experience in a compliance environment.

Qualifications

• Level 4 Diploma in Regulated Financial Planning (DipPFS / Equivalent) – Essential.
• Previous experience in a file-checking, paraplanning, or compliance role within an IFA or wealth management environment.

Responsibilities

• Conduct comprehensive pre- and post-advice file reviews across a range of advice areas.
• Ensure all advice is suitable, clearly documented, and compliant with FCA rules.
• Provide clear feedback to advisers to support continuous improvement.

Skills

Attention to detail

Communication skills

Knowledge of FCA standards

Education

Level 4 Diploma in Regulated Financial Planning

Job description

FULLY HOME BASED

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, paraplanning, or compliance role within an IFA or wealth management environment.

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