MERJE
Compliance File Reviewer
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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.
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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.
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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.
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