At a Glance
- Tasks: Review financial advice files and ensure compliance with regulatory standards.
- Company: Rapidly growing national financial planning firm with a strong UK presence.
- Benefits: Home-based role with occasional travel, competitive salary, and career development opportunities.
- Other info: Opportunity to contribute to adviser development and uphold high standards.
- Why this job: Join a dynamic team and make a real impact on financial advice quality.
- Qualifications: Experience in file review and knowledge of FCA regulations.
The predicted salary is between 40000 - 50000 £ per year.
An exciting opportunity has arisen for an experienced File Review Officer to join a rapidly growing, national financial planning firm as part of their expanding Compliance T C function.
This business has experienced significant growth in recent years through both acquisitions and organic expansion, building a strong presence across the UK.
With a clear focus on delivering high-quality financial advice and positive client outcomes, they are now looking to strengthen their compliance team with the addition of a detail-oriented and proactive professional.
The Role This is a primarily home-based position with occasional travel to regional offices.
The role will focus on reviewing financial advice files to ensure suitability, regulatory compliance and alignment with FCA Consumer Duty and COBS requirements.
In addition to file reviews, you will play a key role in supporting the Training Competence (T C) framework, contributing to adviser development, and helping to drive consistently high standards across the advisory team.
Key Responsibilities Reviewing client files to assess the suitability and quality of financial advice provided Ensuring all advice meets FCA regulatory standards, including Consumer Duty and COBS rules Providing clear, constructive feedback to Financial Advisers, including remedial actions where required Identifying...
