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Compliance File Reviewer

  • Location: United Kingdom
  • Salary: £45,000 per year
  • Job Type:Permanent

Posted 6 days ago

  • Sector: Compliance
  • Contact: Paul Clayton
  • Contact Email:
  • Contact Phone: 0161 883 2747
  • Expiry Date: 28 October 2023
  • Job Ref: PC/10542

Job Description:  I'm working with a leading financial planning business who are looking for a home-based Compliance File Reviewer to undertake suitability assessments of adviser business to ensure good customer outcomes.


The role will involve taking responsibility for the following:

Undertaking post sale file reviews and pre-approval reviews of high-risk/specialist advice - ensuring that the advice is suitable, compliant and easily understood by our clients.

Communicating any remedial work on written advice to the Adviser effectively and efficiently, identifying where additional training may be required.

Supporting with due diligence and other projects and process enhancements, as and when required.

Attending and contributing to Risk & Compliance department meetings.

Build rapport with the Financial Planner within the Group to ensure that good relationships are maintained across the Group.

Key Requirements:

QCF Level 4 Financial Services qualification with desire/ambition to attain Chartered status.

Experience of investments (new and replacement business), pension (new and replacement business) as well as drawdown and IHT planning.


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.