We are thrilled to have partnered with a leading independent financial advice firm in St Albans, who are actively looking for a file reviewer to join their team! Our client has built themselves a brilliant reputation within industry, and pride themselves on providing truly bespoke advice and wealth planning expertise to their clients across the UK and beyond.
If you are a detailed-orientated professional with a passion for financial planning and client service, we’d love to hear from you!
What you'll be doing:
Carrying out in-depth reviews of client’s files in accordance with internal policies and regulatory requirements
Identify any potential compliance issues during file reviews and work with wider teams to implement resolutions
Assist with development of processes within the team, to ensure best practices moving forward
Provide feedback to both the financial advisers and support team, assisting with process improvement and best practices
Adhering to FCA requirements and Compliance Policies
What you need to apply:
Solid understanding of regulatory requirements and compliance procedures
Proficient with Microsoft Office Suite
3+ years industry experience within the wealth management sector
CII Level 4 - Diploma in Regulated Financial Planning is preferred
Strong knowledge of Pension Transfers & DB TransfersWhat's in it for you?
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, depending on which way you see your career heading