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What’s on Offer???
- Base Salary: c.£55,000
- Pension: 8% non-contributory pension
- Remote Working
Our client, a leading financial advisory company dedicated to providing bespoke wealth management solutions to high-net-worth individuals and families, are looking for a File Reviewer to join their growing Compliance team. The File Reviewer will be responsible for conducting thorough reviews of client files, ensuring compliance with regulatory requirements, internal policies, and industry best practices.
Key Responsibilities:
- Conduct comprehensive reviews of client files to assess the completeness, accuracy, and suitability of the advice provided, in accordance with regulatory requirements and internal policies.
- Verify that all documentation and disclosures are up-to-date, properly completed, and compliant with relevant regulations, including but not limited to MiFID II, FCA rules, and GDPR.
- Evaluate the appropriateness of investment recommendations, risk assessments, and financial planning strategies based on client profiles, objectives, and risk tolerance.
- Identify and escalate any deficiencies, inconsistencies, or potential compliance issues identified during file reviews to the appropriate stakeholders for resolution.
- Maintain detailed records of file review findings, observations, and recommendations, ensuring accuracy, completeness, and confidentiality.
- Collaborate with compliance, legal, and advisory teams to address any regulatory or operational concerns and implement corrective actions as necessary.
- Provide feedback, guidance, and training to advisors and support staff on compliance-related matters, best practices, and areas for improvement.
- Stay abreast of regulatory developments, industry trends, and internal policies and procedures, and incorporate changes into file review processes as appropriate.
- Assist in the development and enhancement of file review methodologies, tools, and templates to streamline processes and improve efficiency and effectiveness.
- Support ad-hoc projects, initiatives, and regulatory examinations as needed, demonstrating flexibility and willingness to contribute to the broader goals of the firm.
Experience Required:
- Holds the Level 4 Diploma in Financial Planning as a minimum.
- Minimum of 3-5 years of experience in a similar role within the financial services industry, preferably in a wealth management or advisory firm.
