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- Tasks: Review client files to ensure compliance and quality of advice.
- Company: Join a forward-thinking IFA firm committed to excellence in client care.
- Benefits: Enjoy a competitive salary of c.£45,000 plus benefits, all from home.
- Why this job: Make a real impact on regulatory compliance while working in a supportive team culture.
- Qualifications: Must hold a Level 4 Diploma in Financial Planning and have relevant experience.
- Other info: Due to high application volumes, only shortlisted candidates will be contacted.
The predicted salary is between 36000 - 54000 £ per year.
Our client, a forward thinking IFA firm, are seeking a meticulous and experienced home based Level 4 Qualified File Reviewer to join their compliance team and ensure the continued excellence and integrity of their advice process. As a File Reviewer, you’ll play a critical role in maintaining their high standards of regulatory compliance and client care. You will be responsible for conducting thorough reviews of client files to assess suitability, quality of advice, and adherence to FCA regulations.
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
Do you have the following to apply?
- Qualified to Level 4 Diploma in Financial Planning (or equivalent)
- Previous experience in a file review, compliance, or paraplanning role within an IFA environment.
- Strong knowledge of FCA requirements and industry best practice
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted. Clayton Davies is acting as an employment agency on behalf of our client.
Compliance File Reviewer employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance File Reviewer
✨Tip Number 1
Make sure to network with professionals in the compliance and financial planning sectors. Attend industry events or join relevant online forums to connect with others who may have insights or leads on job openings.
✨Tip Number 2
Stay updated on the latest FCA regulations and compliance trends. This knowledge will not only help you in interviews but also demonstrate your commitment to maintaining high standards in your work.
✨Tip Number 3
Consider reaching out to current or former employees of the firm you're applying to. They can provide valuable insights into the company culture and expectations, which can help you tailor your approach during the interview process.
✨Tip Number 4
Prepare specific examples from your past experience that showcase your attention to detail and ability to provide constructive feedback. These anecdotes will be crucial in demonstrating your fit for the role during interviews.
We think you need these skills to ace Compliance File Reviewer
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance File Reviewer. Familiarise yourself with the key tasks such as conducting reviews and providing feedback to advisers.
Tailor Your CV: Highlight your Level 4 Diploma in Financial Planning and any relevant experience in compliance or file reviewing. Use specific examples that demonstrate your knowledge of FCA regulations and your ability to maintain high standards.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Mention how your skills align with their needs, particularly your experience in identifying risks and providing constructive feedback.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter. Ensure there are no spelling or grammatical errors, as attention to detail is crucial in compliance roles.
How to prepare for a job interview at Clayton Davies
✨Know Your FCA Regulations
Make sure you brush up on the latest FCA regulations before your interview. Being able to discuss these confidently will show that you're not only knowledgeable but also committed to maintaining compliance standards.
✨Demonstrate Your Attention to Detail
As a Compliance File Reviewer, attention to detail is crucial. Prepare examples from your past experience where your meticulous nature helped identify risks or improve processes. This will highlight your suitability for the role.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess how you would handle specific compliance issues. Think through potential situations you might face in the role and how you would approach them, showcasing your problem-solving skills.
✨Showcase Your Communication Skills
You'll need to provide constructive feedback to advisers, so be ready to demonstrate your communication skills. Practice explaining complex compliance concepts in simple terms, as this will reflect your ability to support and guide others effectively.
