More jobs:
File Reviewer
Job in
West of England, Bristol, Bristol County, BS1, 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)
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