File Review Officer

A rapidly growing national IFA is seeking a Financial Advice Outcomes Specialist to join their expanding Compliance & T&C function. The firm has grown significantly in recent years, from 5 Financial Planners to over 45, with a total headcount of around 150. This newly created role will be integral in driving higher standards across Financial Planning and Technical Specialist teams.

The Role

This is a home-based position with travel to offices as required. The primary responsibility is to review the quality of advice to ensure it delivers good client outcomes in line with the FCA Consumer Duty and COBS rules. Alongside advice quality reviews, the role will also support the T&C framework, contribute to training delivery, and provide coaching and feedback to advisers.

Key responsibilities include:

• Reviewing advice files to assess suitability and alignment with regulatory standards
• Providing feedback and remedial action to advisers where needed
• Supporting the T&C Manager with adviser training, development and monitoring
• Gathering and analysing KPI data and CPD records
• Contributing to compliance frameworks, processes, and training initiatives
• Escalating risks, breaches, or trends to senior management

Candidate Profile:

• CII Diploma in Regulated Financial Planning (DipPFS) or equivalent
• Proven experience conducting advice quality reviews within retail financial advice
• Strong working knowledge of FCA rules, Consumer Duty and conduct risk
• Excellent communication, feedback, and coaching skills
• High attention to detail and analytical ability
• Bonus points for additional qualifications such as Equity Release, Long Term Care or Securities.

What's on Offer:

• Salary £40,000 - £50,000 plus bonus and benefits
• Home-based working with flexible travel
• Opportunity to progress into a T&C Manager role after a successful period
• Collaborative, supportive team culture

This is a fantastic opportunity for a compliance professional who wants to play a key role in raising advice standards while developing their career in a growing, ambitious national advice firm.