Compliance File Reviewer; Level 4 – Wealth Management
Remote / Online - Candidates ideally in
Manchester, Greater Manchester, M9, England, UK
Listed on 2026-01-02
Manchester, Greater Manchester, M9, England, UK
Listing for:
Clayton Davies
Remote/Work from Home
position Listed on 2026-01-02
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Services
Job Description & How to Apply Below
A leading wealth management firm seeks an experienced File Reviewer to join their compliance and quality assurance team. This home-based role involves conducting detailed file reviews to ensure compliance with FCA standards. Candidates must possess a Level 4 Diploma in Regulated Financial Planning and experience in file-checking or compliance. Strong understanding of financial products and regulatory expectations is essential. The role supports continuous improvement through feedback to advisers and identifies training needs for enhanced compliance.
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