The successful candidate must be based in the North West, North East, Midlands or Yorkshire region of the UK, with the role offering a mixture of remote working and occasional travel to client sites.
A multi-award-winning regulatory consultancy is looking to appoint a Compliance File Reviewer on a 12 month fixed-term contract to support a growing portfolio of financial services clients across the UK.
This is a varied role focused on compliance file reviewing, suitability assessments and regulatory assurance, working with financial services firms across the investments and retail financial advice sectors.
The role would suit an experienced compliance professional with strong file checking and review experience, particularly someone who is confident assessing the quality and suitability of financial advice and identifying any regulatory issues or areas for improvement.
The Role
You will work across a varied portfolio of client projects, undertaking detailed compliance file reviews and supporting clients with their wider regulatory requirements.
Your responsibilities will include:
- Conducting detailed FCA suitability file reviews, assessing advice quality, suitability and adherence to regulatory requirements.
- Reviewing client files across investments, pensions and retail financial advice.
- Identifying regulatory, procedural and advice-related issues and making clear recommendations for improvement.
- Providing constructive feedback and practical guidance to client firms following file reviews.
- Undertaking client audits and supporting the preparation of reports and recommendations.
- Dealing with technical compliance and regulatory queries from clients.
- Supporting wider client projects, including quality assurance and oversight of project deliverables.
- Developing and maintaining strong client relationships and acting as a trusted point of contact.
- Keeping up to date with FCA regulatory developments and ensuring relevant changes are reflected in client work.
- Contributing to the development of technical guidance, internal papers, manuals and compliance toolkits.
- Managing multiple client projects and deadlines effectively.
- Working both independently and as part of a wider compliance consultancy team.
- Supporting and mentoring junior members of the team where required.
- Travelling to client offices where required, including occasional overnight stays.
- Taking ownership of your workload and ensuring high-quality outputs are delivered within agreed timescales.
About You
We’re looking for someone with a strong background in financial services compliance and file reviewing, ideally with experience gained within investments, pensions, financial planning, wealth management or retail financial advice.
You should have:
- Proven experience conducting FCA suitability file checks and compliance reviews.
- Strong knowledge of financial services regulation and the ability to apply regulatory requirements to real-world client files.
- Experience reviewing advice across investments and/or pensions.
- Strong knowledge of the FCA Handbook, particularly COBS and SYSC.
- Experience identifying regulatory issues, assessing risk and making practical recommendations.
- A relevant Diploma in Financial Planning or equivalent qualification.
- Excellent attention to detail and strong analytical skills.
- Strong written and verbal communication skills, with the ability to clearly explain findings and recommendations.
- Confidence dealing directly with clients and discussing technical compliance matters.
- The ability to manage multiple projects and competing deadlines.
- A proactive, self-motivated and solutions-focused approach.
- The ability to work autonomously while also contributing effectively within a team.
- A full UK driving licence.
Desirable:
- Advanced CII qualifications.
- Experience working within a compliance consultancy environment.
- Experience with FCA applications.
- Experience using FCA compliance tools and systems.
- Previous experience delivering client audits or regulatory consultancy.
- Experience supporting or mentoring junior compliance professionals.
What's on offer?
This is an opportunity to join an established and growing regulatory consultancy, working across a varied client base rather than being tied to one organisation.
You'll have the opportunity to develop your compliance expertise, work across a range of financial services businesses and take ownership of varied client projects, with a mixture of remote and client-facing work.
The role also offers the opportunity to work alongside experienced compliance professionals and gain broader exposure to regulatory consultancy and the wider financial services sector.