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Are you an experienced compliance professional with a strong background in financial services? Do you have a keen eye for detail and a passion for maintaining high-quality standards?
We are recruiting for a File Review Officer to join a fully independent, national financial planning organisation with an outstanding reputation across the UK. This is a home-based role, offering flexibility and a good overall package.
The Role:
You will be responsible for assessing file reviews submitted by Independent Financial Advisers (IFAs), ensuring compliance with the company’s high standards and regulatory requirements. Key responsibilities include:
- Reviewing client files to ensure they meet regulatory and company standards.
- Providing clear and constructive feedback to advisers and paraplanners.
- Monitoring compliance, identifying risks, and escalating concerns where necessary.
- Supporting the compliance team with projects and thematic reviews.
- Encouraging a culture of good risk management and regulatory adherence.
What We’re Looking For:
- Strong knowledge of UK financial services and independent financial advice.
- Experience in assessing the suitability of financial advice within the IFA market.
- Ability to provide detailed feedback and work collaboratively with advisers.
- Level 4 qualification (desirable).
- Proficiency in MS Office and experience working with multiple systems.
- Proven ability to work in a target-driven environment.
What’s on Offer?
- Basic salary up to £46,000 (depending on experience).
- Bonus scheme & comprehensive company benefits.
- Fully remote working with occasional travel if required.
- Opportunity to work for a respected, fully independent financial planning organisation.
