Compliance File Reviewer

Our client, an award winning independent financial advice firm are looking for a File Reviewer to join the team on a permanent basis.

As File Reviewer you will assist the Head of Compliance inin all aspects of the compliance regime, including:

Role Responsibilities:

• Conduct pre- and post-sale reviews of client files to ensure advice suitability and regulatory compliance
• Identify and flag potential risks or areas for improvement
• Provide constructive feedback to advisers in a supportive and professional manner
• Keep up-to-date with FCA regulations and internal policies
• Contribute to the development and delivery of internal training as required
• Maintain accurate records of all reviews and follow-up actions
• Previous experience in a file reviewer/checker role.

Key Skills & Experience:

• Industry qualifications desirable but not essential e.g. CII Diploma in Regulated Financial Planning or another Accredited Body qualification
• Financial services industry experience, for which you can demonstrate working examples of key tasks
• Strong knowledge of FCA requirements and industry best practice
• Ability to form good working relationships
• Ability to work under pressure
• Ability to display model behaviours in line with group values, policies and procedure

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

If you would like this job advertisement in an alternative format, please contact MERJE directly.