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Regulatory Compliance Specialist Financial Services

Senior Compliance File Reviewer – Financial Planning

Job in Bridgend, Bridgend County, CF31, Wales, UK
Listing for: Clayton Davies
Full Time position
Listed on 2026-02-16
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Financial Services
Job Description & How to Apply Below
A leading IFA firm in the United Kingdom is seeking an experienced Level 4 qualified File Reviewer to join their compliance and quality assurance team. In this role, you will conduct detailed file checks, ensuring compliance with FCA standards and internal policies. Ideal candidates will have a Level 4 Diploma in Regulated Financial Planning and a strong understanding of financial products.

This position offers the opportunity to provide feedback to advisers and refine compliance processes.
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Position Requirements
10+ Years work experience
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