A rapidly growing national IFA is seeking a File Review Officer to join their expanding Compliance function. The firm has grown significantly in recent years, growing from a boutique practice to national wealth management firm with a total headcount of around 150.
The Role
This is a home-based position with travel to offices as required. The primary responsibility is to review the quality of advice to ensure it delivers good client outcomes in line with the FCA/Company standards.
Alongside advice quality reviews, the role will also support the T&C framework, contribute to training delivery, and provide coaching and feedback to advisers.
Key responsibilities include:
- Reviewing advice files to assess suitability and alignment with regulatory standards
- Providing feedback and remedial action to advisers where needed
- Supporting the T&C Manager with adviser training, development and monitoring
- Gathering and analysing KPI data and CPD records
- Contributing to compliance frameworks, processes, and training initiatives
- Escalating risks, breaches, or trends to senior management
Candidate profile
- CII Diploma in Regulated Financial Planning (DipPFS) or equivalent
- Proven experience conducting advice quality reviews within retail financial advice
- Strong working knowledge of FCA rules, Consumer Duty and conduct risk
- Excellent communication, feedback, and coaching skills
- High attention to detail and analytical ability
- Bonus points for additional qualifications such as Equity Release, Long Term Care or Securities.
What’s on offer
- Salary £42,000 – £50,000
- Excellent bonus scheme
- Competitive company benefits
- Home-based working with flexible travel
- Clear opportunities to progress
- Collaborative, supportive team culture
Sector:
- Financial Services
- Financial Planning
- Asset & Investment Management
