Skills: file reviewing, Financial Services, FCA regulations, consumer duty
Client File Reviewer (Suitability & Advice Quality – Financial Services)
Salary: £50k–£60k
Location: Hybrid, with travel to London twice per month
Employment type: Full-time – (Part-time / Contract considered)
Deerfoot Recruitment is working on behalf of a respected and expanding financial services organisation seeking an experienced Client File Reviewer to join its Compliance and Advice Quality function. This role plays a vital part in ensuring that client advice is suitable, compliant and aligned with FCA regulations and Consumer Duty expectations.
The Role
The successful candidate will conduct high-quality reviews of client files, assessing suitability, appropriateness and adherence to regulatory standards. You will review advice reports and supporting documentation, identify gaps or risks, and provide constructive feedback to advisers to help enhance advice quality across the business.
You will also contribute to compliance monitoring, support ongoing improvements to advisory processes, and maintain accurate records for management reporting. This is a key position for someone who enjoys detailed analysis, has strong regulatory knowledge and is confident communicating findings to stakeholders.
Key Responsibilities
Essential:
To apply, please contact Deerfoot Recruitment.
File Reviewer / Senior File Reviewer / Advice Quality Reviewer / Advice Quality Specialist / Advice Quality Analyst / Advice Assurance Specialist / Advice Assurance Consultant / Advice Assurance Manager / Advice File Review Specialist / Suitability Reviewer / Suitability Analyst / Suitability Assessor / Suitability & Quality Review Analyst / Advice File Checker / Advice Audit Reviewer
Salary: £50k–£60k
Location: Hybrid, with travel to London twice per month
Employment type: Full-time – (Part-time / Contract considered)
Deerfoot Recruitment is working on behalf of a respected and expanding financial services organisation seeking an experienced Client File Reviewer to join its Compliance and Advice Quality function. This role plays a vital part in ensuring that client advice is suitable, compliant and aligned with FCA regulations and Consumer Duty expectations.
The Role
The successful candidate will conduct high-quality reviews of client files, assessing suitability, appropriateness and adherence to regulatory standards. You will review advice reports and supporting documentation, identify gaps or risks, and provide constructive feedback to advisers to help enhance advice quality across the business.
You will also contribute to compliance monitoring, support ongoing improvements to advisory processes, and maintain accurate records for management reporting. This is a key position for someone who enjoys detailed analysis, has strong regulatory knowledge and is confident communicating findings to stakeholders.
Key Responsibilities
- Review client files to assess suitability and FCA compliance (COBS, PROD, SYSC, Consumer Duty).
- Check evidence relating to client objectives, risk profiling and product rationale.
- Assess pension transfers, investment recommendations, protection advice and ongoing service propositions.
- Produce clear review reports with actions and risk ratings.
- Provide feedback and guidance to advisers and paraplanners.
- Support continuous improvement initiatives and compliance MI reporting.
Essential:
- Background in file reviewing, suitability assessment, paraplanning or compliance monitoring.
- Strong working knowledge of FCA regulations and Consumer Duty.
- Strong working knowledge of FCA rules (COBS, PROD, SYSC) and Consumer Duty requirements.
- Solid understanding of investments, pensions, protection and suitability principles.
- Excellent analytical skills and high attention to detail.
- Confident communicator, able to challenge and guide constructively.
- Level 4 Diploma in Financial Planning (DipPFS or equivalent).
- Familiarity with systems such as XPLAN, Intelliflo or IRESS.
To apply, please contact Deerfoot Recruitment.
File Reviewer / Senior File Reviewer / Advice Quality Reviewer / Advice Quality Specialist / Advice Quality Analyst / Advice Assurance Specialist / Advice Assurance Consultant / Advice Assurance Manager / Advice File Review Specialist / Suitability Reviewer / Suitability Analyst / Suitability Assessor / Suitability & Quality Review Analyst / Advice File Checker / Advice Audit Reviewer
