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File Reviewer / Compliance Assistant

File Reviewer / Compliance Assistant

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Posted 4 days ago, valid for a month

London, Greater London EC1R 0WX

£24,000 - £28,800 per annum

Full Time

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Sonic Summary

The role is for a Compliance Assistant or File Reviewer at an established financial planning firm, which is growing and operates remotely with occasional office attendance in the Southeast of England.
Candidates should have financial planning compliance experience, particularly in file reviews, and ideally hold the Diploma in financial planning (RO1-5) or equivalent qualifications.
The position involves reviewing and monitoring financial advice, maintaining compliance records, and ensuring adherence to relevant regulations such as the Financial Services and Markets Act 2000.
The firm offers a positive working environment with opportunities for training and development, emphasizing good outcomes for customers and compliance with Consumer Duty principles.
Salary details are not explicitly mentioned, but candidates should be prepared to demonstrate relevant experience and skills, particularly in Retail Financial Services Compliance.

Remote - South coast based
Established Financial Planning Firm
Financial planning compliance experience

Our client is an established financial planning firm who have an experienced team and are growing. They are an independent financial adviser firm, and due to growth, they are keen to hire a Compliance Assistant or File Reviewer. The role is remote, with adhoc office attendance, therefore, it would be helpful if someone lived in the Southeast of England Southern Home Counties.

Assist in the review, assessment and monitoring of advice provided by the firm’s Financial Planners and those of its Appointed Representatives and other Group partner firms
Helping to ensure that detailed and accurate compliance records are maintained and report any identified compliance issues
Support the Head of Compliance in ensuring that the firm operates in accordance with all relevant regulation and legislation
Support the review, update and implementation of policies and process standards
Assist with the gathering, recording, and reporting of relevant Management Information
Assist the monitoring of the firm’s compliance with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice and the relevant FCA rules at all times.
Comply with the procedures of the firm at all times and be responsible for the proactive and positive implementation of Consumer Duty, to pay due regard to the interests of customers and treat them fairly, act in good faith towards retail customers, avoid causing foreseeable harm and enable and support retail customers to pursue their financial objectives. Above all, the aim is to deliver good outcomes for customers at all times.

We are keen to speak to individuals with financial planning compliance experience, who have conducted file reviews or a financial advisor who wants to move into this space. Our client has a very positive working environment, and they are growing. Therefore, there will be opportunities for training and development. The ideal candidate will have knowledge and experience in Retail Financial Services Compliance and T&C. Have excellent attention to detail, with the ability to meet hard deadlines. Be proficient in Microsoft Office applications and confident in using IT systems. Ideally someone who holds the Diploma in financial planning ( RO1-5) or equivalent and compliance qualifications are also desirable but not essential.

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