Compliance File Reviewer (Level 4) – Wealth Management

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

Job summary

A leading wealth management firm is seeking an experienced File Reviewer to join their compliance team. The role involves performing detailed file checks to ensure advice meets FCA standards and internal policies. Candidates must possess a Level 4 Diploma in Regulated Financial Planning and have prior experience in a compliance or file-checking role. The position offers a salary of approximately £45,000 plus benefits and is fully home-based.

Benefits

Benefits

Qualifications

• Must hold a Level 4 Diploma in Regulated Financial Planning or equivalent.
• Experience in compliance or file-checking roles is essential.
• Understanding of financial planning products and regulatory expectations is required.

Responsibilities

• Conduct pre- and post-advice file reviews for compliance.
• Document suitability of all advice and ensure FCA compliance.
• Provide feedback to advisers for continuous improvement.
• Identify and report risks and training needs to Compliance Manager.
• Assist in enhancing compliance procedures and guidelines.
• Stay updated on regulatory changes and industry developments.

Skills

File checking

Compliance knowledge

Attention to detail

Education

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

Job description

A leading wealth management firm is seeking an experienced File Reviewer to join their compliance team. The role involves performing detailed file checks to ensure advice meets FCA standards and internal policies. Candidates must possess a Level 4 Diploma in Regulated Financial Planning and have prior experience in a compliance or file-checking role. The position offers a salary of approximately £45,000 plus benefits and is fully home-based.