File Reviewer
4 weeks ago
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.
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