Compliance File Reviewer


Reference ID





to £30,000 plus benefits

Contact Person

Angela Liscombe

Job description

Compliance File Reviewer

Nottingham (our ref AL877)

Salary £25,000 - £30,000 plus benefits


A highly regarded regional IFA & wealth firm with a successful track record of organic growth, staff retention and development have an opportunity for a Compliance File Reviewer.

The primary duties of this role will be to deliver compliance quality review across financial adviser business being submitted.

The practice provides independent financial advice with a primary focus towards retirement, pensions, investments and wealth planning.

Role requirements

·        Accurately review pre and post-advice file checks

·        Identify corrective action and record errors following up any remedial actions to completion

·        Ensure that industry regulations and internal policies are met

·        Raise standards of the adviser population through maintaining accurate client records

·        Work closely with members of the compliance team, FCA and provide support where required.

·        Provide support to the Head of Compliance & Governance to improve processes within the department

·        Other ad hoc duties as required.

Candidate requirements

·        You will ideally have 12 months industry experience of investment and pension files checking and ideally hold the level 4 qualification in Financial Planning or be studying towards that.

·        A good understanding of pensions and investments is desirable.

·        High attention to detail

·        An understanding of FCA regulation

·        It is essential that you have good communication skills across all areas, are self-motivated, proactive, logical, analytical and have a good work and team ethos.

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