File Reviewer

3 weeks ago

St Albans, United Kingdom Hoxton Capital Management Full time

**Position**: File Reviewer

**Company Overview**: Hoxton Capital is a leading financial advisory company dedicated to providing bespoke wealth management solutions to high-net-worth individuals and families. With a commitment to excellence, integrity, and personalized service, we empower our clients to achieve their financial goals with confidence and peace of mind. As part of our ongoing commitment to regulatory compliance and quality assurance, we are seeking a diligent and detail-oriented File Reviewer to join our team at our UK office.

**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.

**Qualifications and Requirements**:

- Bachelor's degree in finance, business administration, law, or a related field. Professional certifications (e.g., CISI, CFA, CFP) preferred.
- Minimum of 3-5 years of experience in a similar role within the financial services industry, preferably in a wealth management or advisory firm.
- Solid understanding of regulatory requirements and industry standards governing the provision of financial advice and investment services, including MiFID II, FCA rules, and GDPR.
- Strong analytical skills and attention to detail, with the ability to review complex financial documents and identify potential compliance issues or discrepancies.
- Excellent communication and interpersonal skills, with the ability to interact effectively with colleagues at all levels of the organization and provide constructive feedback.
- Ability to work independently and prioritize tasks effectively in a fast-paced, deadline-driven environment, while maintaining a high level of accuracy and quality.
- Proficiency in Microsoft Office suite (Word, Excel, PowerPoint) and familiarity with document management systems and compliance software.
- Commitment to upholding professional standards of ethics, integrity, and confidentiality in all aspects of work.
- Flexibility to adapt to changing regulatory requirements, business needs, and priorities, and a willingness to participate in ongoing training and development.
- Legal right to work in the UK without sponsorship.

  • Pension Case Checker

    1 month ago

    St Albans, United Kingdom Independent Resourcing Consultancy Full time

    **Pension Case Checker**: - Job Reference: 1544 - Date Posted: 19 March 2024 - Recruiter: Independent Resourcing Consultancy Ltd - Location: Saint Albans, Hertfordshire - Salary: On Application - Bonus/Benefits: Salary: Circa 41,000 GBP - Sector: Other Financial Services Jobs - Job Type: Permanent - Contact: Maria Inglis Exciting Opportunity with a Leading...

  • Pension Case Checker

    2 days ago

    St Albans, United Kingdom Independent Resourcing Consultancy Full time

    **Pension Case Checker**: - Job Reference: 1544 - Date Posted: 17 May 2024 - Recruiter: Independent Resourcing Consultancy Ltd - Location: Saint Albans, Hertfordshire - Salary: On Application - Bonus/Benefits: Salary: Circa 41,000 GBP - Sector: Other Financial Services Jobs - Job Type: Permanent - Contact: Maria Inglis Exciting Opportunity with a Leading...

  • Junior Paraplanner

    4 weeks ago

    St Albans, United Kingdom Blakemore Recruitment Full time

    We are currently recruiting for a Financial Planning practice based near St. Albans who are looking for a Junior Paraplanner to join their team. The main purpose of this role is to provide the highest level possible of support to the Financial Services Sales Team. To deliver the agreed strategy and procedural objectives regarding compliance standards. ...

  • Facilities Supervisor

    3 weeks ago

    St Albans, United Kingdom Smart10Ltd Full time

    Position: Facilities Supervisor Department: Practice Support Location: St Albans/Radlett / £28k - £30k per year Hours: Full-time, 36.25 hrs per week, Monday to Friday (between 8:30am – 6pm) Overview Our Client’s focus is on delivering exceptional service to both our clients and our team. The Facilities Supervisor plays a pivotal role in ensuring a...

  • Administrator - Service Department

    4 weeks ago

    St Albans, United Kingdom M O'Brien Plant Hire Ltd Full time

    M O’Brien Plant Hire are seeking a motivated individual with service admin experience to assist our busy team based in St Albans. As a Service admin assistant for a busy plant hire company your responsibilities will include: - Data entry - Electronic filing - The ability to take instructions on board and carry out tasks as and when required - Supporting...

  • Administrator - Construction & Hire

    1 month ago

    St Albans, United Kingdom M O'Brien Plant Hire Ltd Full time

    M O’Brien Plant Hire are seeking a motivated individual with Construction Admin experience to assist our busy team based in St Albans. As an Administrator for a busy Plant Hire company your responsibilities will include: - Data entry - Electronic filing - The ability to take instructions on board and carry out tasks as and when required - Supporting the...

  • Facilities Supervisor

    3 weeks ago

    St Albans, United Kingdom Smart10Ltd Full time

    Position: Facilities SupervisorDepartment: Practice SupportLocation: St Albans/Radlett / £28k - £30k per yearHours: Full-time, 36.25 hrs per week, Monday to Friday (between 8:30am – 6pm)OverviewOur Client’s focus is on delivering exceptional service to both our clients and our team. The Facilities Supervisor plays a pivotal role in ensuring a...

  • Clinical Coder

    4 weeks ago

    St Albans, United Kingdom The Maltings Surgery Full time

    The following are the core responsibilities of the Clinical Coder and medical Summariser; There may be on occasion, a requirement to carry out other tasks; this will be dependent upon factors such as workload and staffing levels; Receiving and checking clinical notes for newly registered patients. Summarising salient points (from patients previous practice...

  • Senior Estimator

    4 weeks ago

    St Albans, United Kingdom Sisk Group Full time

    Job Details Senior Estimator - UK South Construction Business Unit Role  We are recruiting for Senior Estimator to join our UK South Construction business unit. The Senior Estimator is responsible for ensuring that the estimated cost of a project is prepared correctly in an explicit and consistent manner which takes into account the methods of...

  • Senior Planner

    1 month ago

    St Albans, United Kingdom Sisk Full time

    **Senior Planner - UK South - Preconstruction Department** - _and performance on a weekly and monthly basis. **Key Responsibilities** Health & Safety - Ensure Planning assumptions and decisions incorporate Sisk’s Health and Safety Policies and Procedures. - Produce a construction methodology in close cooperation with the project team to effectively...

  • Senior Planner

    4 weeks ago

    St Albans, United Kingdom Sisk Group Full time

    Job Details Senior Planner - UK Civil Engineering  Role  We are recruiting for a Senior Planner to join our UK Build Division in the South. You will support the management team with the planning and programming of the design, procurement and construction activities associated with the works. To lead the programme and planning management for the...

  • Interim Head of Finance

    2 weeks ago

    St Albans, United Kingdom Michael Page Full time

    This Interim Head of Finance role is a temporary position which will involve developing the strategy and leading the operational aspects of the Finance function. The position requires a senior leader with experience in the Not- For - Profit or Research sector. The individual will be based in St. Albans and will be responsible for leading various financial...

  • Lead Planner

    4 weeks ago

    St Albans, United Kingdom Sisk Group Full time

    Job Details Lead Planner - UK Civil Engineering  Role  We are recruiting for a Lead Planner to join our UK Build Division in the South. You will support the management team with the planning and programming of the design, procurement and construction activities associated with the works. To lead the programme and planning management for the team...

  • Senior Planner

    4 weeks ago

    St Albans, United Kingdom John Sisk and Son Full time

    Senior Planner - UK Civil Engineering  Role  We are recruiting for a Senior Planner to join our UK Build Division in the South. You will support the management team with the planning and programming of the design, procurement and construction activities associated with the works. To lead the programme and planning management for the team in the...

  • Lead Planner

    4 weeks ago

    St Albans, United Kingdom John Sisk and Son Full time

    Lead Planner - UK Civil Engineering  Role  We are recruiting for a Lead Planner to join our UK Build Division in the South. You will support the management team with the planning and programming of the design, procurement and construction activities associated with the works. To lead the programme and planning management for the team in the...

  • Experienced Conveyancing Paralegal

    4 weeks ago

    St Albans, Hertfordshire, United Kingdom Mission 4 Recruitment Full time

    Role: Para/ Legal Assistant Location: Hybrid - Home (&/OR) Office, St Albans, Hertfordshire An exciting opportunity for an experienced para/legal assistant to join our clients small team of professionals. Within a few short years the firm has expanded dramatically and has a continued focus on organic growth through recommendation and a glowing reputation,...

  • Administrator

    4 weeks ago

    St. Albans, United Kingdom Reed Business Support Full time

    Do you have exceptional communication skills and are you meticulous, accurate and process driven looking for a role where you can establish growth and a career? My client are an accountancy practice who are a leading provider of tronc solutions to the hospitality industry; clients include Michelin starred restaurants, celebrity chefs, High Street groups,...

  • Facilities Supervisor

    2 weeks ago

    St Albans, Hertfordshire, United Kingdom Smart10Ltd Full time

    Position: Facilities Supervisor Department: Practice Support Location: St Albans/Radlett / £28k - £30k per year Hours: Full-time, 36.25 hrs per week, Monday to Friday (between 8:30am - 6pm) Overview Our Client's focus is on delivering exceptional service to both our clients and our team. The Facilities Supervisor plays a pivotal role in ensuring a...

  • Tax Manager

    4 weeks ago

    St Albans, Hertfordshire, United Kingdom Michael Page (UK) Full time

    This well-established professional services firm, known for its comprehensive approach to client service, employs over 200 dedicated professionals. Located in St Albans, the firm prides itself on fostering a supportive and collaborative environment. Manage a diverse portfolio of high net worth private clients, and small number of Non doms, and Trusts. ...

  • Customer Service Coordinator

    4 weeks ago

    St Albans, United Kingdom BAXTER Full time

    **This is where you save and sustain lives** At Baxter, we are deeply connected by our mission. No matter your role at Baxter, your work makes a positive impact on people around the world. You'll feel a sense of purpose throughout the organization, as we know our work improves outcomes for millions of patients. Baxter's products and therapies are found in...