File Reviewer
2 weeks ago
Permanent
- City of London,
**Ref**: 35265
File Reviewer
We are working on behalf of a highly reputable Asset Management firm who are looking for a File Reviewer to join a them on a permanent basis in London. Working in the Central Compliance function, you will be responsible for conducting file reviews to check against Suitability requirements and internal standards, and experience in a similar role within financial services is desired. They are looking to offer c.£50k per annum.
The Role
- Reviewing client files against FCA Suitability requirements
- Ensure issues identified within the review of client files are updated
- Conduct pre-sale file review checks for advice on higher risk products
- Demonstrate understanding of evolving regulatory framework
Skills and Experience
- Experience in conducting file reviews in a previous role, ideally Wealth Management
- Work experience within a Wealth Management setting or Audit/Consultancy role in Wealth Management sector.
- Level 4 qualifications e.g. Diploma in Financial Planning/Regulated Financial Planning) would be ideal but not necessary
- Strong FCA COBS understanding
- Great attention to detail and pro-activity.
- Strong report-writing skills
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