Compliance File Reviewer (Level 4) – Wealth Management

Clayton Davies; Remote; GBP 60,000 - 80,000; Full time

Job summary

A leading wealth management firm seeks an experienced File Reviewer to join their compliance and quality assurance team. This home-based role involves conducting detailed file reviews to ensure compliance with FCA standards. Candidates must possess a Level 4 Diploma in Regulated Financial Planning and experience in file-checking or compliance. Strong understanding of financial products and regulatory expectations is essential. The role supports continuous improvement through feedback to advisers and identifies training needs for enhanced compliance.

Qualifications

• Essential Level 4 diploma in Regulated Financial Planning.
• Experience in file-checking or compliance role in wealth management.
• Understanding of financial planning products and suitability requirements.

Responsibilities

• Conduct comprehensive pre- and post-advice file reviews.
• Ensure advice is documented and compliant with FCA rules.
• Provide feedback to advisers for improvement.
• Identify risks and training needs.
• Assist in developing compliance procedures.
• Stay updated on regulatory changes.

Skills

File checking

Compliance knowledge

Financial planning understanding

Analytical skills

Education

Level 4 Diploma in Regulated Financial Planning

Job description

A leading wealth management firm seeks an experienced File Reviewer to join their compliance and quality assurance team. This home-based role involves conducting detailed file reviews to ensure compliance with FCA standards. Candidates must possess a Level 4 Diploma in Regulated Financial Planning and experience in file-checking or compliance. Strong understanding of financial products and regulatory expectations is essential. The role supports continuous improvement through feedback to advisers and identifies training needs for enhanced compliance.