Compliance File Reviewer

Compliance File Reviewer
Location: Kent
Contract: Permanent
Salary: £40,000 - £65,000 per annum (dependent on experience)
Start Date: Flexible
*Hybrid Working available*
Contact: greg.waite@servicecare.org.uk

Job Description
Service Care Solutions are recruiting for an experienced Compliance File Reviewer to join a growing financial planning firm.

This role plays a key part in ensuring that all financial advice delivered by the firm meets regulatory requirements and internal compliance standards. The successful candidate will conduct detailed reviews of client files, assess the suitability of recommendations, and provide constructive feedback to paraplanners and advisers to maintain high-quality advice standards.

You will also work closely with the Head of Compliance to identify potential risks, highlight trends, and contribute to continuous improvement of internal procedures.

Key Responsibilities

• Carry out pre- and post-sale file reviews of client files to ensure advice is compliant and accurately documented.
• Assess the suitability of financial recommendations, ensuring they align with clients’ objectives, financial circumstances, and risk tolerance.
• Review documentation to ensure compliance with FCA regulations and internal policies.
• Provide clear and concise written feedback to paraplanners on any errors or improvements required.
• Recommend remedial actions where necessary to address compliance issues.
• Support advisers and paraplanners in maintaining high-quality documentation and advice standards.
• Liaise with the Head of Compliance regarding breaches, risks, or emerging trends.
• Assist with identifying areas where internal processes and procedures can be improved.
• Support the implementation of improvements to compliance processes.

Candidate Criteria

• CII Level 4 Diploma in Financial Planning or Equivalent
• Minimum 3 years’ experience in compliance, file checking, or senior paraplanning within an IFA or wealth management firm.
• Strong technical knowledge of investments, pensions, and taxation.
• Excellent attention to detail when reviewing complex documentation.
• Strong written and verbal communication skills.

If you are interested in the role, or know of anyone who could be, please contact Greg at Service Care Solutions on 01772 208969 or email greg.waite@servicecare.org.uk
Service Care Solutions also offers a £250 referral bonus! So, if you know of anyone who would be perfect for this position and they are placed into work, you will receive £250 for the referral once their probationary period has been completed.