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 trends, risks, and areas for improvement, and reporting findings to senior stakeholders
- Supporting the delivery of adviser training, coaching, and development initiatives
- Monitoring adviser performance, CPD activity, and key performance indicators (KPIs)
- Contributing to the ongoing development of compliance frameworks, processes, and monitoring tools
- Assisting with the administration and maintenance of the T&C programme
About You
- Diploma qualified (DipPFS or equivalent) as a minimum
- Proven experience conducting advice quality or file reviews within a retail financial planning environment
- Strong working knowledge of FCA regulations, Consumer Duty, and conduct risk
- Excellent attention to detail with strong analytical skills
- Confident communicator with the ability to deliver clear, constructive feedback
- Experience supporting or coaching advisers would be highly advantageous
- A proactive mindset with a focus on continuous improvement and high standards
What’s on Offer
- Basic salary to £50,000
- Bonus and competitive benefits package
- Fully home-based role with occasional travel
- Opportunity to join a fast-growing and forward-thinking national firm
- Clear progression pathway into a T&C Manager position
- Supportive, collaborative team environment
This is an excellent opportunity for an experienced compliance or paraplanning professional looking to move into a broader role where they can directly influence advice quality, support adviser development and play a key role in delivering positive client outcomes across a growing organisation.
Sector:
- Financial Services
- Financial Planning
- Asset & Investment Management
