File Reviewer/Compliance Assistant - Financial Planning

• Remote
• Salary to £40k
• Established Financial Planning firm

Our client is an established Financial Planning firm who have an experienced team and are growing. They are an independent financial adviser firm, and due to growth they are keen to hire a Compliance Assistant or File Reviewer. The role is remote, with office attendance required c. one day a month. Therefore, it would be helpful if someone lived in the Southeast of England i.e. London or Southern Home Counties. The ability to drive or to have access to good train connections is also important.
 
The role will focus on file reviews and will report into the Head of Compliance. Duties will include monitoring advice provided by the financial planners and reviewing files. This will include gathering and recording relevant management information, and ensuring accurate records are kept.
 
We are keen to speak to individuals with Financial Planning compliance experience, who have conducted file reviews. Our client has a very positive working environment and they are growing. Therefore, there will be opportunities for training and development.