File Reviewer

🔒 Confidential Employer
Posted 21 April 2026
LOCATION
Bath
TYPE
Full-time
LEVEL
Associate
SALARY
£40,000 / year
CATEGORY
Finance
This employer holds a UK Home Office sponsor license — sponsorship for this specific role is at the employer’s discretion

SKILLS

FCA principles Conduct of Business rules File Review Paraplanning Wealth Management Compliance

FULL DESCRIPTION

This is a great opportunity for a Paraplanner to make the move into Compliance.

File Reviewer

You’ll review pre- and post- advice files in line with firm’s T&C scheme, providing constructive feedback and support to the advice teams to deal with any remedial action quickly.

You’ll also assist with business complaint investigations and business issues and liaise with staff to resolve these in a timely manner.

In addition, you’ll keep up to date with regulatory developments and identify any issues that may impact the business, escalating as appropriate.

You’ll either have spent time in a similar file review position or in paraplanning, within the Wealth Management arena and have a good understanding of FCA principles and Conduct of Business rules.

You’ll be working towards your CII Level 4 Diploma.

If so, click apply and send over your CV.

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