At a Glance
- Tasks: Review client files to ensure compliance and enhance advice quality.
- Company: Respected financial services organisation with a focus on compliance.
- Benefits: Competitive salary, hybrid work model, and opportunities for professional growth.
- Other info: Join a dynamic team dedicated to continuous improvement and client outcomes.
- Why this job: Make a real impact by ensuring clients receive the best financial advice.
- Qualifications: Experience in file reviewing and strong knowledge of FCA regulations required.
The predicted salary is between 50000 - 100000 £ per year.
Client File Reviewer (Suitability & Advice Quality – Financial Services)
Location: Hybrid, with travel to London twice per month Employment type: Full-time – (Part-time / Contract considered)Deerfoot Recruitment is working on behalf of a respected and expanding financial services organisation seeking an experienced Client File Reviewer to join its Compliance and Advice Quality function.
This role plays a vital part in ensuring that client advice is suitable, compliant and aligned with FCA regulations and Consumer Duty expectations.
The Role The successful candidate will conduct high-quality reviews of client files, assessing suitability, appropriateness and adherence to regulatory standards.
You will review advice reports and supporting documentation, identify gaps or risks, and provide constructive feedback to advisers to help enhance advice quality across the business.
You will also contribute to compliance monitoring, support ongoing improvements to advisory processes, and maintain accurate records for management reporting.
This is a key position for someone who enjoys detailed analysis, has strong regulatory knowledge and is confident communicating findings to stakeholders.
Key Responsibilities Review client files to assess suitability and FCA compliance (COBS, PROD, SYSC, Consumer Duty).
Check evidence relating to client objectives, risk profiling and product rationale.
Assess pension transfers, investment recommendations, protection advice and ongoing service propositions.
Produce clear review reports with actions and risk ratings.
Provide feedback and guidance to advisers and paraplanners.
Support continuous improvement initiatives and compliance MI reporting.
Skills & Experience
Essential: Background in file reviewing, suitability assessment, paraplanning or compliance monitoring.
Strong working knowledge of FCA regulations and Consumer Duty.
Strong working knowledge of FCA rules (COBS, PROD, SYSC) and Consumer Duty requirements.
Solid understanding of investments, pensions, protection and suitability principles.
Excellent analytical skills and high attention to detail.
Confident communicator, able to challenge and guide constructively.
Desirable: Level 4 Diploma in Financial Planning (Dip PFS or equivalent).
Familiarity with systems such as XPLAN, Intelliflo or IRESS.
If you are diligent, proactive and passionate about delivering high-quality client outcomes, we would be keen to hear from you.
To apply, please contact Deerfoot Recruitment.
File Reviewer / Senior File Reviewer / Advice Quality Reviewer / Advice Quality Specialist / Advice Quality Analyst / Advice Assurance Specialist / Advice Assurance Consultant / Advice Assurance Manager / Advice File Review Specialist / Suitability Reviewer / Suitability Analyst / Suitability Assessor / Suitability & Quality Review Analyst / Advice File Checker / Advice Audit Reviewer
Advice quality manager / File Reviewer in London employer: Deerfoot Recruitment Solutions
Deerfoot Recruitment Solutions Ltd is an exceptional employer, offering a dynamic work environment in the heart of Central London, where you can thrive as an IT Support Analyst. With a strong focus on employee development, you'll benefit from structured training and certifications while working closely with an IT Director who values your growth. The comprehensive benefits package, including private medical insurance and generous leave policies, combined with the opportunity to make a significant impact in a new internal IT support function, makes this a truly rewarding place to advance your career.
Contact Details:
Deerfoot Recruitment Solutions Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Advice quality manager / File Reviewer in London
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We think you need these skills to ace Advice quality manager / File Reviewer in London
Some tips for your application 🫡
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