File Reviewer (Financial Services/Wealth)
File Reviewer (Suitability andamp; Advice Quality - Financial Services) Salary: £50k-£60k Location: Hybrid, with travel to London twice per month Employment type: Full-time - (part time/Contract considered) Deerfoot Recruitment is working on behalf of a respected and expanding financial services organisation seeking an experienced Client File Reviewer to join its Compliance and Advice Quality function. This role plays a vital part in ensuring that client advice is suitable, compliant and aligned with FCA regulations and Consumer Duty expectations. The Role The successful candidate will conduct high-quality reviews of client files, assessing suitability, appropriateness and adherence to regulatory standards. You will review advice reports and supporting documentation, identify gaps or risks, and provide constructive feedback to advisers to help enhance advice quality across the business. You will also contribute to compliance monitoring, support ongoing improvements to advisory processes, and maintain accurate records for management reporting. This is a key position for someone who enjoys detailed analysis, has strong regulatory knowledge and is confident communicating findings to stakeholders. Key ResponsibilitiesReview client files to assess suitability and FCA compliance (COBS, PROD, SYSC, Consumer Duty).Check evidence relating to client objectives, risk profiling and product rationale.Assess pension transfers, investment recommendations, protection advice and ongoing ..... full job details .....
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