• Review client files/application forms/suitability reviews to identify gaps and discrepancies
  • Resolve discrepancies themselves or to guide the brokers on what they need to do to achieve compliance
  • Contact clients and go through suitability assessments over the phone
  • Keep abreast of system enhancements and compliance controls to ensure procedures are properly reflected across the brokers client base
  • Liaise with and assist the suitability unit and compliance in providing any required or documentation in support of monitoring


Ideally previous experience of file reviewing/suitability/compliance monitoring.

General understanding of FCA regulations.

Can do attitude/strong communication skills