Financial Review Specialist

7 days ago


Liverpool, Liverpool, United Kingdom enable Recruitment Full time

Job Summary:

We are seeking a highly skilled Financial Review Specialist to join our team at Enable Recruitment. As a Financial Review Specialist, you will play a critical role in ensuring the accuracy and compliance of client files.

Key Responsibilities:

  • Conduct in-depth reviews of client files to ensure compliance with internal policies and regulatory requirements.
  • Identify potential compliance issues during file reviews and work with the team to implement resolutions.
  • Assist in the development of processes to ensure best practices moving forward.
  • Provide feedback to financial advisers and support teams to improve processes and best practices.
  • Ensure adherence to FCA requirements and Compliance Policies.

Requirements:

  • Solid understanding of regulatory requirements and compliance procedures.
  • Proficient in Microsoft Office Suite.
  • 3+ years of industry experience in the wealth management sector.
  • CII Level 4 - Diploma in Regulated Financial Planning is preferred.
  • Strong knowledge of Pension Transfers & DB Transfers.

What We Offer:

  • A basic salary of up to £40,000 dependent on experience and qualifications.
  • Social opportunities throughout the year.
  • Opportunity to work abroad.
  • Exam funding and support.
  • Progression opportunities into different areas of the business.


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