Our client is a rapidly expanding wealth management firm who are looking for an File Reviewer to join the team on a permanent basis.

The File Reviewer is responsible for ensuring the accuracy, completeness, and regulatory compliance of client advice files within the firm. Working closely with advisers, paraplanners, compliance colleagues, and operational teams, the File Reviewer plays a key role in maintaining high-quality advice standards and supporting the firm’s commitment to best practice and robust consumer outcomes.

Key Responsibilities:

• Conduct detailed reviews of client advice files (new business and ongoing advice) to ensure accuracy, suitability, and compliance with internal policies and FCA regulations.
• Assess appropriateness of recommendations, documentation, risk assessments, and suitability reports.
• Evaluate completeness and integrity of KYC, AML, and financial planning information.
• Ensure advice files meet regulatory requirements including Consumer Duty, COBS, and MiFID II.
• Identify potential risks, breaches, or inconsistencies and escalate where necessary.
• Support the Manager by providing insights into recurring issues or emerging compliance themes
• Provide clear, constructive feedback to paraplanners and advisers on how to resolve issues or strengthen documentation.
• Track and monitor file quality trends to support continuous improvement initiatives.
• Contribute to the development and refinement of file-checking processes, templates, and quality standards.
• Collaborate with advisory, compliance, and administration teams to ensure smooth file completion workflows.
• Attend internal meetings and training sessions to remain current on regulatory change and business updates.
• Support new team members by sharing best practices and helping maintain a culture of quality and accountability

Key Requirements:

• Must have Level 4 Qualification – Regulated Diploma in Financial Planning (essential)
• Proven experience in financial advice file checking and quality assurance, ensuring accuracy, suitability, and full regulatory compliance.
• Ability to conduct detailed reviews of new business and ongoing advice files, assessing recommendations, risk profiling, suitability reports, and supporting documentation.
• Adhere to all FCA regulations including consumer duty
• Commercial Awareness
• Innovation
• Collaboration
• Team contribution
• Professionalism

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

If you would like this job advertisement in an alternative format, please contact MERJE directly.