File Reviewer 12 Month Ftc

**OVERALL SUMMARY**

Join TrinityBridge Compliance Team where you will be responsible for conducting file reviews to check against Suitability requirements and internal standards. This role can be based in either Northwich or Chester.

**RESPONSIBILITIES**

- Review client files to ensure that any financial and investment advice given to potential and existing clients meet the overarching suitability requirements of the Financial Conduct Authority
- Conducting pre-sale file review checks for advice on higher risk products
- Liaise with front office staff to ensure any issues identified following the review of client files are remediated in a timely manner
- Capture clear management information to allow the firm to measure and report to relevant management committees on the on-going standards of client files within the firm
- Liaise with the wider Compliance and Risk teams as necessary
- Ability to demonstrate an understanding of the regulatory framework relevant to the role, whilst practising effective risk management taking account of outcomes for clients

**WE WOULD LOVE TO HEAR FROM YOU IF**:

- Experience in conducting file reviews within a Wealth Management firm or within an audit/consultancy role, working in the Wealth Management sector
- Strong understanding of FCA COBS rules (e.g. Suitability, Pension Transfers)
- Strong analytical skills and attention to detail, with an ability to review large amounts of information whilst providing a concise view of the client file
- Strong report-writing skills
- Ability to work quickly and accurately to tight deadlines
- Be a pro-active individual with a “can-do” approach
- Ability to work with people at all levels.

**_ We appreciate that from time to time, recruitment agencies will have speculative CVs that they may wish to submit to our Talent Acquisition team in relation to a specific role._**

**_ To avoid any ambiguity around fees, please note that speculative CVs received by TrinityBridge, that have not been authorised in advance, by us, will be ineligible for an agency fee. Thank you._**

**_ #LI-EM1 #LI-SY1 #LI-JJ1_**

At TrinityBridge we are all connected by our mission to be the best place in the UK for wealth professionals and their clients.

We believe that everyone should think ahead, have a financial plan and invest wisely. Our clients are professionals, business owners, individuals, charities, families, and employers, who rely on our clear financial advice and investment management services to preserve and grow their long-term savings and investments.

We are a team of about 900 people based in 15 offices across the UK. Our geographic footprint means we can combine a local approach with face-to-face services to enable strong, long-term relationships with our clients.

Sustainability is fundamental to our purpose, and we have a responsibility to help address the social, economic and environmental challenges facing our business, colleagues and clients. We strive to do the right thing and are dedicated to helping the charities that matter most to our people.

We offer a wide range of inclusive benefits that provides our people with all the support they need to find a healthy balance in all aspects of their lives. We also invest in the growth of our people providing a sense of belonging and team spirit and the ability to thrive.

We recruit people from all backgrounds and are open to discussing all types of flexible working options, helping our people to balance work and home life and make practical choices for wellbeing while delivering impact where it matters, all of which contributes to our exceptional client experience.