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- Tasks: Review client files for compliance and quality of advice, ensuring FCA regulations are met.
- Company: Join a forward-thinking IFA firm dedicated to excellence in client care and regulatory compliance.
- Benefits: Enjoy a competitive salary of c.£45,000 plus benefits, with the flexibility of home-based work.
- Why this job: Be part of a supportive team that values your input and helps you grow in your career.
- Qualifications: Must hold a Level 4 Diploma in Financial Planning and have relevant experience in compliance roles.
- Other info: Due to high application volumes, only shortlisted candidates will be contacted within 7 days.
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.
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance File Reviewer
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance standards. This will not only help you in interviews but also demonstrate your commitment to staying updated in the field.
✨Tip Number 2
Network with professionals in the compliance and financial planning sectors. Engaging with others in the industry can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples from your previous experience where you identified compliance issues or improved processes. This will showcase your analytical skills and attention to detail.
✨Tip Number 4
Consider joining relevant professional groups or forums online. Participating in discussions can enhance your knowledge and show potential employers your proactive approach to professional development.
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, as well as the importance of FCA regulations.
Tailor Your CV: Highlight your Level 4 Diploma in Financial Planning and any relevant experience in compliance or file reviewing. Use specific examples from your past roles to demonstrate your knowledge of FCA requirements 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 to advisers.
Proofread Your Application: Before submitting, carefully proofread your application materials. Ensure there are no spelling or grammatical errors, and that all information is clear and concise. A polished application reflects your attention to detail, which is crucial for this role.
How to prepare for a job interview at Clayton Davies
✨Know Your FCA Regulations
Make sure you brush up on the latest FCA regulations and compliance standards. Being able to discuss these confidently will show that you're not only knowledgeable but also committed to maintaining high standards in your work.
✨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 issues or improve processes. This will highlight your suitability for the role.
✨Prepare for Scenario Questions
Expect scenario-based questions during the interview. Think about how you would handle specific situations related to file reviews or compliance issues. This will demonstrate your problem-solving skills and ability to provide constructive feedback.
✨Showcase Your Communication Skills
Since you'll be providing feedback to advisers, it's important to showcase your communication skills. Be ready to discuss how you approach giving constructive criticism and maintaining professional relationships while ensuring compliance.
