Compliance File Reviewer (Level 4) – Wealth Management

Clayton Davies; Remote; GBP 45,000; Full time

Job summary

A leading wealth management firm seeks an experienced File Reviewer to join their compliance team. In this home-based role, you will conduct detailed file checks to ensure adherence to FCA standards and internal policies. The ideal candidate should possess a Level 4 Diploma in Regulated Financial Planning and have experience in file-checking or compliance roles. Strong knowledge of financial planning products and regulatory requirements is essential. Competitive salary around £45,000 plus benefits.

Benefits

Benefits

Qualifications

• Level 4 Diploma in Regulated Financial Planning (DipPFS / Equivalent) is essential.
• Previous experience in a file-checking or compliance role within an IFA or wealth management environment.
• Strong understanding of financial planning products, suitability requirements, and regulatory expectations.

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, 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.

Skills

File reviewing skills

Knowledge of FCA standards

Attention to detail

Education

Level 4 Diploma in Regulated Financial Planning (DipPFS / Equivalent)

Job description

A leading wealth management firm seeks an experienced File Reviewer to join their compliance team. In this home-based role, you will conduct detailed file checks to ensure adherence to FCA standards and internal policies. The ideal candidate should possess a Level 4 Diploma in Regulated Financial Planning and have experience in file-checking or compliance roles. Strong knowledge of financial planning products and regulatory requirements is essential. Competitive salary around £45,000 plus benefits.