Financial Services Compliance Specialist

3 weeks ago

Liverpool, Liverpool, United Kingdom Hoxton Wealth Full time
Job Title: File Reviewer

Hoxton Wealth is a global financial services firm with a strong presence in key locations worldwide. We are committed to delivering comprehensive wealth management services through a tech and tax-led approach.

Job Summary:

The File Reviewer will play a critical role in maintaining the quality and integrity of our advisory services. This involves conducting thorough reviews of client files to ensure compliance with regulatory requirements, internal policies, and industry best practices.

Key Responsibilities:

  1. Conduct comprehensive reviews of client files to assess the completeness, accuracy, and suitability of the advice provided.
  2. Verify that all documentation and disclosures are up-to-date, properly completed, and compliant with relevant regulations.
  3. Evaluate the appropriateness of investment recommendations, risk assessments, and financial planning strategies based on client profiles, objectives, and risk tolerance.
  4. Identify and escalate any deficiencies, inconsistencies, or potential compliance issues identified during file reviews to the appropriate stakeholders for resolution.
  5. Maintain detailed records of file review findings, observations, and recommendations, ensuring accuracy, completeness, and confidentiality.
  6. Collaborate with compliance, legal, and advisory teams to address any regulatory or operational concerns and implement corrective actions as necessary.
  7. Provide feedback, guidance, and training to advisors and support staff on compliance-related matters, best practices, and areas for improvement.
  8. Stay abreast of regulatory developments, industry trends, and internal policies and procedures, and incorporate changes into file review processes as appropriate.
  9. Assist in the development and enhancement of file review methodologies, tools, and templates to streamline processes and improve efficiency and effectiveness.

Requirements:

  1. Bachelor's degree in finance, business administration, law, or a related field. Professional certifications (e.g., CISI, CFA, CFP) preferred.
  2. Minimum of 3-5 years of experience in a similar role within the financial services industry, preferably in a wealth management or advisory firm.
  3. Solid understanding of regulatory requirements and industry standards governing the provision of financial advice and investment services.
  4. Strong analytical skills and attention to detail, with the ability to review complex financial documents and identify potential compliance issues or discrepancies.
  5. Excellent communication and interpersonal skills, with the ability to interact effectively with colleagues at all levels of the organization and provide constructive feedback.
  6. Ability to work independently and prioritize tasks effectively in a fast-paced, deadline-driven environment, while maintaining a high level of accuracy and quality.
  7. Proficiency in Microsoft Office suite (Word, Excel, PowerPoint) and familiarity with document management systems and compliance software.
  8. Commitment to upholding professional standards of ethics, integrity, and confidentiality in all aspects of work.
  9. Flexibility to adapt to changing regulatory requirements, business needs, and priorities, and a willingness to participate in ongoing training and development.

Equal Opportunities Employer:

Hoxton Wealth is an equal opportunity employer and welcomes applications from qualified individuals regardless of race, gender, age, disability, sexual orientation, religion, or nationality. All applications will be treated with strict confidentiality.

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