Compliance File Reviewer

Our client is a leading wealth management firm who are seeking an experienced Level 4 qualified File Reviewer to join their growing compliance and quality assurance team. In this role, you will be responsible for carrying out detailed file checks to ensure all advice provided by their advisers meets FCA standards, internal policies, and industry best practice.

Role & Responsibilities : 📋

• Conduct comprehensive pre- and post-advice file reviews across a range of advice areas, including pensions, investments, protection, and retirement planning.
• Ensure all advice is suitable, clearly documented, and compliant with FCA rules and the firm’s internal processes.
• 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.

Do you have the following to apply? ✅

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.

Base pay range

Direct message the job poster from Clayton Davies

Director at Clayton Davies - 07515031496 / paul@claytondavies.com

Seniority level

Mid-Senior level

Employment type

Full-time

Job function

Other

Industries

Financial Services and Investment Management

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