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Client File Reviewer - Wealth Management - Blackpool - 12 Month FTC

Client File Reviewer - Wealth Management - Blackpool - 12 Month FTC

SJC Partners

Posted 8 days ago, valid for 5 days

Blackpool, Lancashire FY4 5ES, England

Full Time

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Sonic Summary

A prestigious wealth management firm in Blackpool is seeking a meticulous Client File Reviewer for a 12-month fixed-term contract.
The role involves reviewing client files to ensure regulatory compliance and adherence to FCA guidelines.
Candidates should have previous experience in a similar compliance role within financial services and a strong knowledge of FCA regulations.
The position offers a competitive salary and the opportunity to work in a supportive and collaborative environment.
A Level 4 Diploma in Financial Planning or working towards it is highly desirable, along with excellent attention to detail.

Are you detail-oriented, compliance-savvy, and experienced in reviewing client files within financial services?We’re partnering with a prestigious wealth management firm based in Blackpool, currently seeking a meticulous Client File Reviewer to join their team on a 12-month fixed-term contract.The Role: As a Client File Reviewer, you’ll play a key role in ensuring regulatory compliance and maintaining the highest standards of client care. Working closely with advisers and compliance teams, you’ll review and assess client files to ensure suitability, accuracy, and adherence to FCA guidelines.Key Responsibilities:

Conduct detailed file reviews of new and existing client cases
Identify and highlight areas of concern or non-compliance
Provide clear, constructive feedback to advisers and paraplanners
Assist in implementing improvements and remedial actions
Maintain accurate records and ensure audit trail integrity
Support wider compliance functions during audits and internal reviews

Requirements:

Previous experience in a similar file review or compliance role within wealth management / financial planning
Strong working knowledge of FCA regulations and suitability requirements
Excellent attention to detail and analytical thinking
Strong communication and report-writing skills
Level 4 Diploma in Financial Planning (or working towards) is highly desirable

What’s on Offer:

Competitive salary
Supportive, collaborative working environment
Hybrid/flexible working considered
Opportunity to work with a highly regarded firm in the wealth management space

Interested in this opportunity? Apply today to join a team where your compliance expertise will truly make an impact.

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