Are you passionate about precision and regulatory excellence? I am currently on the lookout for a Compliance File Reviewer to join a trusted financial planning and advisory firm. In this pivotal role, you’ll be responsible for reviewing client files across all stages to ensure alignment with internal standards, FCA regulations, and industry best practices.

Key Responsibilities:
  • Review client files to assess advice suitability and compliance with FCA rules, focusing on Consumer Duty.
  • Check accuracy of client data and documentation.
  • Identify and categorise file issues by severity.
  • Provide clear, timely feedback to advisers on file quality and compliance.
  • Support improvement through discussions and training.
  • Escalate serious breaches; maintain review records.
  • Contribute to MI reports and identify emerging risks.
  • Assist with audit prep and respond to regulator/auditor requests.
What You Bring:
  • 3–5 years’ experience in compliance, file checking, or paraplanning within a UK financial planning firm.
  • Qualification in DipFA Level 4 or equivalent (Non-negotiable).
  • Strong knowledge of the FCA Handbook (COBS, SYSC, PROD, DISP, Consumer Duty).
  • Skilled in applying complex regulatory rules to real-world advice scenarios.
  • Proficient in financial planning software and CRM systems.
  • Familiarity with a range of investment products, platforms, and planning strategies.
  • Experience in coaching or training financial advisers.