Compliance File Reviewer

JR United Kingdom; United Kingdom; Remote; GBP 35,000 - 50,000; Full time

Job summary

Une entreprise de conseil financier innovante recherche un Compliance File Reviewer qualifié pour rejoindre son équipe de conformité. Ce poste à domicile implique des examens minutieux des fichiers clients pour garantir la conformité réglementaire et la qualité des conseils. Le candidat idéal aura un diplôme de niveau 4 en planification financière et une expérience pertinente dans un environnement IFA.

Qualifications

• Expérience antérieure dans un rôle de révision de fichiers, conformité ou paraplanning dans un environnement IFA.
• Connaissance approfondie des exigences de la FCA et des meilleures pratiques de l'industrie.

Responsibilities

• Effectuer des examens préalables et postérieurs des fichiers clients pour assurer la conformité réglementaire.
• Identifier et signaler les risques ou domaines à améliorer.
• Fournir des retours constructifs aux conseillers.

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:

Compliance File Reviewer, United Kingdom

Client:

Clayton Davies

Location:

Job Category:

Other

-

EU work permit required:

Yes

Job Views:

1

Posted:

23.05.2025

Expiry Date:

07.07.2025

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 Requirements:

• 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.