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A forward-thinking IFA firm seeks a Level 4 Qualified File Reviewer to bolster their compliance team. This home-based position entails conducting thorough reviews of client files, ensuring regulatory compliance, and providing feedback to advisers. The ideal candidate will have a proven track record in compliance or paraplanning, alongside a Level 4 Diploma in Financial Planning, and exemplary knowledge of FCA regulations.
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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.
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.