Hybrid File Reviewer, Financial Compliance & Advice Quality

Deerfoot Recruitment Solutions Limited; City of Westminster; Hybrid; GBP 50,000 - 60,000; Full time

Job summary

A financial services recruitment agency is looking for an experienced Client File Reviewer to join their Compliance and Advice Quality function. The successful candidate will conduct quality reviews of client files, ensuring compliance with FCA regulations and discussing findings with stakeholders. Essential skills include a background in file reviewing and strong knowledge of FCA rules. This role is hybrid, with occasional travel to London, and offers a salary between £50k and £60k.

Qualifications

• Strong working knowledge of FCA regulations and Consumer Duty.
• Confident communicator, able to challenge and guide constructively.
• Excellent analytical skills and high attention to detail.

Responsibilities

• Conduct high-quality reviews of client files to assess suitability and compliance.
• Identify gaps or risks and provide feedback to advisers.
• Contribute to compliance monitoring and ongoing improvements.

Skills

File reviewing

Suitability assessment

Compliance monitoring

FCA regulations

Analytical skills

Communication

Education

Level 4 Diploma in Financial Planning

Tools

XPLAN

Intelliflo

IRESS

Job description

A financial services recruitment agency is looking for an experienced Client File Reviewer to join their Compliance and Advice Quality function. The successful candidate will conduct quality reviews of client files, ensuring compliance with FCA regulations and discussing findings with stakeholders. Essential skills include a background in file reviewing and strong knowledge of FCA rules. This role is hybrid, with occasional travel to London, and offers a salary between £50k and £60k.