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- Tasks: Review client files for compliance with FCA regulations and internal standards.
- Company: Join a trusted financial planning and advisory firm known for regulatory excellence.
- Benefits: Enjoy a full-time role with opportunities for professional growth and training.
- Why this job: Make a real impact by ensuring financial advice meets high standards and consumer duty.
- Qualifications: 3-5 years in compliance or paraplanning; DipFA Level 4 qualification required.
- Other info: Be part of a supportive team that values precision and continuous improvement.
The predicted salary is between 36000 - 60000 £ per year.
Broadgate Nottinghamshire, England, United Kingdom
Compliance File Reviewer
Associate Compliance and Financial Crime Recruitment Consultant
Overview
To act as quality control for advice through file checking, to ensure that advice meets business and regulatory requirements. Assist with the management of business issues and complaint investigations to resolution.
Key Responsibilities
- Review pre-and-post advice files in line with the firm’s T&C scheme
- Provide technical and regulatory support to advise teams where appropriate
- Maintain awareness of the regulatory environment which may have an impact on the business
- Comply with compliance procedures, including TCF, Data Protection and FCA Regulations at all times
- Complete file checking feedback documents
- Ensure file checking data is collated and kept up to date
Experience & Qualifications
- Level 4 Diploma in Regulated Financial Planning (DipPFS or DipFA) – (approaching DipPFS may be considered)
- Working knowledge of FCA Principles and Rules
- Good understanding of the Financial Planning process
- Previous experience in a similar role within the IFA/ Wealth and Financial Planning industry
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Compliance File Reviewer employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance File Reviewer
✨Tip Number 1
Network with professionals in the financial planning and compliance sectors. Attend industry events or webinars where you can meet people who work at firms similar to the one you're applying to. This can help you gain insights into their culture and expectations.
✨Tip Number 2
Familiarise yourself with the latest FCA regulations and guidelines, especially those related to Consumer Duty. Being able to discuss recent changes or updates during your conversations will demonstrate your commitment and knowledge in the field.
✨Tip Number 3
Prepare to showcase your experience in file checking and compliance by gathering specific examples of past work. Be ready to discuss how you've identified issues and contributed to improvements in previous roles.
✨Tip Number 4
Consider reaching out directly to the job poster or hiring manager via LinkedIn. A polite message expressing your interest in the role and asking for any additional insights can set you apart from other candidates.
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 FCA regulations and the specific requirements mentioned in the job description.
Tailor Your CV: Highlight your relevant experience in compliance, file checking, or paraplanning. Make sure to emphasise your knowledge of the FCA Handbook and any qualifications like DipFA Level 4 that you possess.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your passion for regulatory excellence and precision. Mention specific examples from your past experience that demonstrate your ability to review client files and provide feedback effectively.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors. A polished application reflects your attention to detail, which is crucial for a role in compliance.
How to prepare for a job interview at Broadgate
✨Know Your Regulations
Make sure you have a solid understanding of the FCA Handbook, especially sections like COBS and Consumer Duty. Being able to discuss these regulations confidently will show your expertise and readiness for the role.
✨Demonstrate Attention to Detail
As a Compliance File Reviewer, precision is key. Prepare examples from your past experience where your attention to detail made a significant impact on compliance or file quality. This will highlight your suitability for the role.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance scenarios. Practise articulating your thought process and decision-making skills in these situations, as it will showcase your ability to apply regulatory rules effectively.
✨Showcase Your Coaching Skills
Since the role involves providing feedback and training to advisers, be ready to discuss your experience in coaching. Share specific instances where you helped others improve their compliance practices, demonstrating your leadership potential.