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The role is part of the Central Compliance team. We are looking to hire a file reviewer within our existing Compliance team. You will be responsible for conducting file reviews to check against Suitability requirements and internal standards.
RESPONSIBILITIES
- Review client files to ensure that any financial and investment advice given to potential and existing clients meet the overarching suitability requirements of the Financial Conduct Authority.
- Liaise with front office staff to ensure any issues identified within the review of client files are updated
- Conducting pre-sale file review checks for advice on higher risk products
- Create the management information to allow us to measure and report to relevant management committees on the on-going standards of client files within the firm
- Liaise with the wider Compliance and Risk teams as necessary
WE WOULD LOVE TO HEAR FROM YOU IF YOU HAVE:
- Experience in conducting file reviews within a Wealth Management firm or within an audit/consultancy role, working in the Wealth Management sector
- Strong understanding of FCA COBS rules (e.g. Suitability, Pension Transfers)
- Level 4 qualifications e.g. Diploma in Financial Planning/Regulated Financial Planning) an advantage but not a necessity
