More jobs:
File reviewer
Job in
West Midlands, Birmingham, West Midlands, B1, England, UK
Listed on 2026-10-26
Listing for:
Broadgate
Full Time
position Listed on 2026-10-26
Job specializations:
-
Finance & Banking
Financial Compliance
Job Description & How to Apply Below
A leading UK financial advice network is looking for a Business Quality Adviser to join its Supervision & Assurance team, reviewing advice files to make sure clients get good outcomes.
What you'll do- Carry out pre- and post-sale file reviews across Investments, Pensions, Mortgages and Insurance
- Assess suitability, affordability, capacity for loss, risk profiling and disclosure against COBS, MCOB, ICOBS, PROD and Consumer Duty
- Give clear, constructive feedback to advisers and support them in raising standards
- Run root cause analysis on failed or at-risk cases and help improve controls and guidance
- Contribute to thematic reviews (e.g. retirement advice, DB transfers, vulnerable customers)
- Experience in quality assurance or paraplanning within a financial advice firm
- Strong knowledge of FCA rules, Consumer Duty and vulnerable customer guidance
- Level 4 Diploma (DipPFS, DipFA or equivalent)
To View & Apply for jobs on this site that accept applications from your location or country, tap the button below to make a Search.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
Search for further Jobs Here:
×