File Reviewer

4 weeks ago


UK, UK, United Kingdom Hoxton Wealth Full time

Position: File Reviewer


Company Overview:

Hoxton Wealth is a global financial services firm with offices in key locations, including Cyprus, the United States, the United Kingdom, Dubai, South Africa, and Australia. The firm combines innovative technology solutions with deep expertise in tax-efficient strategies to deliver comprehensive wealth management services. With around £2 billion in assets under management (AUM), Hoxton Wealth is dedicated to helping clients achieve their financial objectives through personalized investment solutions, cross-border financial planning, and long-term wealth growth and preservation strategies.


Role Overview:

The File Reviewer will conduct thorough reviews of client files to ensure compliance with regulatory requirements, internal policies, and industry best practices. This critical role supports the quality and integrity of our advisory services and contributes to the overall success of the firm.


Key Responsibilities:

  • Conduct comprehensive reviews of client files to assess completeness, accuracy, and suitability of advice, ensuring adherence to regulatory requirements and internal policies.
  • Verify that all documentation and disclosures are current, properly completed, and compliant with relevant regulations, including FCA rules.
  • Evaluate the appropriateness of investment recommendations, risk assessments, and financial planning strategies based on client profiles and objectives.
  • Identify and escalate any deficiencies or compliance issues found during file reviews to relevant stakeholders for resolution.
  • Maintain detailed records of findings, observations, and recommendations, ensuring accuracy and confidentiality.
  • Collaborate with compliance, legal, and advisory teams to address regulatory or operational concerns and implement corrective actions as needed.
  • Provide feedback, guidance, and training to advisors and support staff on compliance matters, best practices, and areas for improvement.
  • Stay informed about regulatory developments, industry trends, and internal policies, incorporating changes into review processes as appropriate.
  • Assist in developing and enhancing file review methodologies, tools, and templates to streamline processes and improve efficiency.
  • Support ad-hoc projects and regulatory examinations as needed, demonstrating flexibility and a commitment to the firm's broader goals.


Qualifications and Requirements:

  • Professional certifications (e.g., CISI, CFA, CFP) are preferred.
  • Minimum of 3-5 years of experience in a similar role within the financial services industry, preferably in wealth management or advisory.
  • Strong understanding of regulatory requirements and industry standards for financial advice and investment services, including FCA rules.
  • Excellent analytical skills and attention to detail, with the ability to review complex financial documents and identify compliance issues.
  • Strong communication and interpersonal skills, enabling effective interaction with colleagues and constructive feedback.
  • Ability to work independently and prioritize tasks in a fast-paced, deadline-driven environment while maintaining high accuracy.
  • Proficiency in Microsoft Office (Word, Excel, PowerPoint) and familiarity with document management systems and compliance software.
  • Commitment to upholding professional standards of ethics, integrity, and confidentiality.
  • Flexibility to adapt to changing regulatory requirements and business needs, with a willingness to engage in ongoing training and development.
  • Legal right to work in the UK without sponsorship.


Equal Opportunity Statement:

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.


  • File Checker

    2 months ago


    UK, UK, United Kingdom BWD Search & Selection Full time

    Are you detail-oriented with a passion for compliance? We are looking for an experienced File Checker to join our growing compliance function at a leading UK financial services firm with a track record of excellence.As a File Checker, you will play a vital role in ensuring that our advisors adhere to regulatory standards and internal policies. This...


  • UK, UK, United Kingdom Cure Talent Full time

    Cure Talent are delighted to be working with a well-established Medical Device company that supply and distribute innovative Medical Devices. Due to their continued growth and success, we have an exciting opportunity for a Senior Regulatory Affairs Associate to join them in West Yorkshire.As the new Senior Regulatory Affairs Associate, you will be working...

  • Tax Accountant

    2 months ago


    UK, UK, United Kingdom Career Legal Full time

    Partnership Tax Accountant London Competitive salary This client is global law firm with offices in key business centres across the Americas, Asia and Europe. The firm employs approximately 2000 lawyers. Their London office has a headcount of circa 800 and offices in the City A permanent position has opened up for a Partnership Tax Accountant to join...

  • Compliance Officer

    3 weeks ago


    UK, UK, United Kingdom MERJE Full time

    MERJE are partnered with an international Investments business who are looking for a Compliance Officer (12-14 months FTC) to join their dynamic team.Key Responsibilities: • Carrying out daily review and monitoring of the firms Code of Ethics program• Assist the compliance team with compliance onboarding and managing employees’ disclosures• Conduct...

  • Paraplanner

    2 months ago


    UK, UK, United Kingdom Bond Rec Full time

    Bond Recruitment is delighted to be recruiting for an experienced Paraplanner, on behalf of our client, a leading IFA practice in Wilmslow, Cheshire.The role of the Paraplanner is to support the Financial Planners and other staff when informing and advising Clients on their financial strategies, plans, products and investments.General accountabilitiesComply...

  • Legal Assistant

    3 weeks ago


    UK, UK, United Kingdom Gleeson Recruitment Group Full time

    GRG are pleased to be supporting a legal services firm based in the Walsall area who are seeking an experienced Legal Assistant to join their busy Conveyancing team. You will play a vital role in supporting Conveyancing Fee Earners, ensuring smooth file management, client communication, and completion of essential legal tasks. This is an excellent...


  • UK, UK, United Kingdom Oculus Legal Group Full time

    The ideal candidate will be responsible for the collection and organization of documents and information from various cases at the firm. This candidate should feel comfortable relaying messages between various groups and keeping all documents important to the cases they are working on organized. ResponsibilitiesReview and draft routine legal documentsCreate...


  • West Midlands, UK, UK, United Kingdom Elevate Flexible Legal Resourcing Full time

    Elevate Flexible Legal Resourcing is looking for an experienced Manager/Team Lead in e-discovery and document review to join one of its clients, a global law firm. This is a full-time contract position lasting 4-5 months, starting as soon as possible. The role will be based in the Birmingham office, with the option for two days of remote work each week.The...

  • MCERTS Team Leader

    2 months ago


    UK, UK, United Kingdom Primaire Consulting Ltd Full time

    A bit about the role:• Discover and report at least one proactive hazard identification per month.• Zero RIDDOR or lost-time incidents on relevant projects.• No instances of non-conforming work, such as inaccurate reporting or failure to adhere to procedures.• The MCERTS Technician should ensure that job file checks exceed 95% compliance.•...


  • UK, UK, United Kingdom Mane Contract Services Full time

    Project Location: Newport Wales, UKExperience in Data Centre, Pharmaceutical or Semi-Conductor Must hold UK passport or Residency / Permit for the UKPackage Includes:AccommodationRotationTravelLiving AllowanceKey Responsibilities:Manage the Electrical Engineering function for the project.Provide weekly reports and updates to the Project Director and...


  • UK, UK, United Kingdom Piramal Pharma Solutions Full time

    Piramal Pharma is seeking a highly skilled and motivated Process Development Manager to join our dynamic team. In this pivotal role, you will be responsible for leading the development and optimisation of pharmaceutical processes, ensuring the successful transition from laboratory to commercial scale. You will collaborate closely with cross-functional teams,...


  • ;Homeworking, , UK;Homeworking,, UK, United Kingdom Parexel Full time

    We are seeking experienced Regulatory Affairs professionals to join our dynamic team in support of a global acceleration client initiative for late-stage phase III assets. This is an exciting opportunity to play a crucial role in accelerating time to filing and approval in Global Country Initiative (GCI), emerging markets, and non-EU markets.Our global...


  • UK, UK, United Kingdom chapmanbdsp Full time

    Information ManagerJob PurposeThe Information Manager will support multiple design groups being responsible for the timely, accurate and efficient preparation and management of project documents and data internally and externally.Role OverviewThe Information Manager will be responsible for all documentation and data movement, integrity and security. They...

  • Account Executive

    3 months ago


    UK, UK, United Kingdom Salus Insurance Services Inc. Full time

    Our client, a highly regarded Insurance Lloyd's broker, offer comprehensive risk management, claims advocacy, and tailored insurance solutions to clients on a global basis.They are looking to add to their technical team and recruit an account executive who can assist in the continued servicing of the current portfolio of clients in the US, UK, Israel,...

  • Claims Broker

    2 months ago


    London, UK, UK, United Kingdom Nashrock Insurance Recruitment Full time

    Claims Broker - Canadian PropertyJoin an experienced team as a Claims Broker, handling a wide range of claims across multiple lines of business from first notification to settlement. The role involves managing complex claims, negotiating with underwriters, and ensuring compliance with industry standards.Key Responsibilities:Oversee and produce new claims...


  • UK, UK, United Kingdom LR Legal Recruitment Full time

    Job Title: Community Care Solicitor (Director Position)Location: London (Hybrid Working Available)Job Type: Permanent/ HybridSalary: £85,000 About Us: Our client, established in 1998 and regulated by the Solicitor’s Regulation Authority, is a leading law firm recognised for excellence by Legal 500 and Chambers & Partners UK. As the largest provider of...

  • Senior Legal Manager

    3 weeks ago


    UK, UK, United Kingdom Orbia Full time

    You are purpose driven. Growth minded. Ready to stretch your potential. That’s the spirit of the community you’ll find at Orbia: where the purpose to advance life around the world drives our global team of over 23,000 every single day.From creating solutions to deliver clean water, secure food supplies and reliable information to steering material...


  • UK, UK, United Kingdom Metro Full time

    Powered by industry-leading Metro technology, Metro deliver import/export air, ocean and road freight forwarding, supply chain management, logistics and specialised services in retail, manufacturing and chemicals.At Metro, its our innovative technologies, pushing of boundaries, and most importantly, our employees that sets us apart. We are proud to say we...


  • UK, UK, United Kingdom Amplify Recruitment Full time

    Looking for a mid-senior UI Designer for a London based game and production studio (remote or hybrid working available). Gaming experience is essential.£40-55kDescriptionProduce high-quality designs based on top-level briefsEnsure designs align with client brandingAdhere to the project’s creative vision and business strategyCollaborate effectively with...


  • London, UK, UK, United Kingdom IHC Ltd Full time

    Based in the London office, this role requires the administrator to provide full support to the members of the Group Risk Team in all aspects of GR administration including claims, in an efficient and professional manner.The role requires someone who has excellent written and verbal communication skills as well as the ability to use their initiative and be...