Financial Planning File Reviewer – Compliance Specialist

About the role

This position offers a home‑based opportunity to join a fast‑growing national wealth‑management firm. You will work closely with the Compliance Director and the Training & Competency Manager to ensure that financial advice delivered by planners meets internal standards and FCA regulatory requirements.

Key responsibilities

• Review financial advice files against company standards and FCA Consumer Duty guidelines.
• Assess suitability of advice under FCA COBS rules.
• Provide clear, constructive feedback to advisers and recommend remedial actions.
• Identify trends, emerging risks and report findings to the Compliance Director.
• Support adviser development through training initiatives and coaching.
• Respond to compliance and technical queries within agreed service levels.
• Manage advice quality review workflows and capture accurate management information for reporting.

Required profile

• Proven experience in compliance, advice quality, or a similar role within financial services.
• Strong understanding of FCA Consumer Duty and COBS regulations.
• Ability to analyse advice outcomes and communicate feedback effectively.

Required skills

What we offer

• Competitive salary up to £50,000 per year.
• Company benefits package.
• Fully remote working with occasional travel to regional offices.