Compliance File Reviewer

Our client is a successful compliance consultancy firm who are looking for an experienced Compliance File Reviewer to join the team. You will be responsible for providing feedback to clients with reference to files reviewed and compliance issues raised.

Key Responsibilities:

• Deliver a client file review service in line with Service Level Agreements
• Respond to client queries in a timely, clear and concise manner, setting customer expectations in respect of timescales anticipated, and recording information in line with business standards
• Provide oral feedback to clients in respect of client file reviews as required
• Maintain a CPD record in line with FCA requirements for regulated individuals
• Generate reports and summaries of thematic reviews/file assessments as requested by the Head of Compliance

Requirements:

• Minimum of QCF Level 4 Diploma qualification with a desire to continue to study through to level 6
• Experience in a compliance/technical area of a support service, network or IFA business.
• Detailed knowledge of regulatory framework required to carry out client file review
• Experience of providing feedback to IFAs in relation to client file quality or T&C issues