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Wealth File Reviewer
3 months ago
Business Quality Assessor/File Review - Wealth Management and Financial Planning
£44k Fully Remote.
Purpose of the Role
Working closely with the Team Leader, you will play a crucial role in maintaining regulatory compliance and supporting our objective of delivering a professional, positive, and efficient compliance program, all while focusing on achieving excellent client outcomes.
Key Responsibilities
- Regulatory Compliance: Ensure the firm adheres to all relevant FCA rules.
- File Reviews: Conduct pre-approval and post-sale reviews of client files
- Communication: Clearly and effectively communicate review outcomes
- Record Keeping: Maintain accurate and up-to-date compliance records, specifically related to client file documentation.
- Support & Training: Assist new and existing advisers with compliance procedures, identify knowledge gaps, and support continuous professional development.
Relevant Skills, Knowledge, and Behaviours
- Qualifications: Level 4 DipFA or close to achieving.
- Regulatory Knowledge: Understanding of FCA rules and guidance, including COCON, Training & Competence, Business Standards (COBS/ICOBS/MCOB/CASS).
- Legislation: Good understanding of financial crime and data security legislation.
- Experience: Proven experience in file reviews within a financial services compliance environment.
- Attention to Detail: Strong attention to detail with an interest in researching and promoting effective solutions.
- Team Collaboration: Ability to work closely with colleagues to ensure the best outcomes for clients.
Specific Responsibilities
- File Checking: Deliver the firm's file checking program, including pre-approval and post-sale reviews.
- Review Outcomes: Communicate outcomes clearly and ensure follow-ups are completed promptly.
- Record Maintenance: Keep accurate records within SharePoint of all file reviews.
- Breach Reporting: Report any identified breaches promptly according to company policy.
- Adviser Support: Provide guidance and support on compliance procedures and record-keeping requirements.
- Trend Identification: Identify common trends in knowledge gaps and provide necessary support.
- Point of Contact: Serve as a compliance-related point of contact for advisers, paraplanning, and administration teams.
- Management Information Reports: Assist in producing reports on file checking performance and common errors.
