mbf
Financial Planning File Reviewer
How your CV stacks up
Upload your CV to see how well it fits this job role
?%
An exciting opportunity with one of the UK's fastest-growing national wealth management firms
Following significant expansion through both acquisition and organic growth, the business is continuing to invest in its Compliance & T&C function and is now seeking a Financial Advice Outcomes Specialist to join the team.
This is a fantastic opportunity for an experienced Compliance or Advice Quality professional to play a key role in ensuring consistently high standards of financial advice, supporting advisers and helping to drive positive client outcomes across a national Financial Planning business.
Working from home with occasional travel to regional offices, you'll work closely with the Compliance Director and T&C Manager, reviewing advice quality, supporting adviser development and contributing to the ongoing enhancement of the firm's compliance framework.
The Role
As a Financial Advice Outcomes Specialist, you'll be responsible for reviewing the quality of financial advice being delivered by Financial Planners, ensuring it meets both internal advice standards and FCA regulatory requirements. You'll adopt an outcomes-based approach to file reviews, assessing suitability under FCA COBS rules whilst ensuring advice and documentation demonstrate good client outcomes in line with Consumer Duty.
Alongside advice reviews, you'll provide clear and constructive feedback to advisers, identify trends and recurring themes, support training initiatives, and contribute towards the ongoing development of the firm's Training & Competency framework.
Key Responsibilities
- Review the quality of financial advice provided by Financial Planners against company standards
- Conduct outcomes-based file reviews in line with FCA Consumer Duty requirements
- Assess suitability of advice against FCA COBS rules
- Deliver clear, constructive feedback and recommend appropriate remedial actions
- Identify trends and emerging risks, reporting findings to the Compliance Director
- Support the T&C Manager with adviser development and training initiatives
- Respond to compliance and technical queries within agreed service levels
- Manage advice quality review workflows through to completion
- Ensure accurate management information is captured for compliance reporting
- Support the implementation and ongoing development of the firm's T&C framework
- Provide coaching and guidance to improve adviser performance and advice quality
- Assist with workshops, training sessions and compliance initiatives
- Monitor adviser performance, CPD records and Key Performance Indicators
- Contribute to the development of compliance monitoring frameworks, methodologies and best practice
- Keep up to date with FCA regulatory developments and ensure ongoing compliance
- Escalate significant risks, breaches or emerging trends where appropriate
- Help identify opportunities to improve efficiency through technology and AI solutions
Reasons to use Rodeo
Start with a chat, not a search bar
Grad scheme, placement, apprenticeship? Not sure what you want yet — that's fine. Your agent talks it through with you and turns "I have no idea" into a shortlist.
It searches the market for you
Every day your agent scans the market matching roles against what actually matters to you, not just keywords on a CV.
Only hits
No noise. No "maybe this fits." Just roles with a clear explanation of why they're right — and where to focus when applying.
About You
To be considered, you'll ideally have:
- Diploma in Regulated Financial Planning (DipPFS) or equivalent
- Experience conducting advice quality or file reviews within a retail financial planning environment
- Strong understanding of FCA regulation, Consumer Duty, COBS rules and conduct risk
- Excellent analytical skills and exceptional attention to detail
- Strong written and verbal communication skills
- Confidence delivering constructive feedback to Financial Planners
- Professional judgement and the ability to make balanced compliance decisions
- A proactive mindset with a genuine desire to improve processes and client outcomes
- Ongoing commitment to Continuing Professional Development (CPD)
Get help with your application
Your very own career expert that helps elevate your application to the next level.
Desirable Experience
Whilst not essential, the following would be advantageous:
- Previous experience coaching or training Financial Planners
- Equity Release qualification
- Long Term Care qualification
- Securities qualification
What's on Offer
- £40,000 - £50,000 basic salary
- Discretionary bonus
- Comprehensive benefits package
- Fully home-based role with occasional travel to regional offices
- Clear progression pathway into a T&C Manager position
- Join one of the UK's fastest-growing wealth management firms
- Supportive, collaborative and forward-thinking culture
- Opportunity to directly influence advice quality and client outcomes across a national business
- Long-term career development within an expanding organisation
This is an outstanding opportunity for someone with experience in financial planning compliance, advice quality or file checking who is looking to take the next step in their career within a progressive and rapidly growing wealth management business. You'll be joining a collaborative team where your expertise will genuinely influence adviser standards, regulatory excellence and, most importantly, positive client outcomes.
“It took my CV and asked me questions relevant to understanding what kind of jobs to suggest for me. Suggestions were almost perfect. Jobs were exactly what I’ve been looking for.”
Jessica, London
Skills
Location