Compliance File Reviewer

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

Job summary

Une entreprise de conseil financier dynamique recherche un vérificateur de dossiers qualifié de niveau 4 pour rejoindre son équipe de conformité en télétravail. Le rôle implique d'assurer la conformité des conseils donnés aux clients en effectuant des vérifications détaillées des dossiers, tout en maintenant des normes élevées et en contribuant à la formation interne. Les candidats doivent avoir une qualification de niveau 4 en planification financière et une expérience pertinente dans un environnement IFA.

Qualifications

• Qualification à un Diplôme Niveau 4 en Planification Financière ou équivalent.
• Expérience en révision de dossiers, conformité ou paraplanification dans un environnement IFA requise.
• Solide connaissance des exigences FCA et des meilleures pratiques industrielles.

Responsibilities

• Effectuer des vérifications préliminaires et post-vente des dossiers clients pour garantir la conformité réglementaire.
• Identifier et signaler les risques potentiels ou les domaines à améliorer.
• Fournir des retours constructifs aux conseillers de manière professionnelle.

Skills

Connaissance des exigences FCA

Évaluation de conformité

Feedback constructif

Education

Diplôme Niveau 4 en Planification Financière

Job description

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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.

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

Do you have the following to apply?

• 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.