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Our client is a leading IFA regulatory professional 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.
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.
The role offers a comprehensive employed package and the benefits of being completely remote/home based.
Interviews are available immediately for suitably experienced individuals.