File Reviewer - Asset Management - Compliance Function - FTC

Michael Page Finance; City Of London; Hybrid; GBP 55,000 - 60,000; Full time

Job summary

A leading asset management company in London seeks a compliance professional to conduct file reviews and ensure adherence to regulatory standards. Candidates should have experience in Wealth Management and a strong understanding of FCA COBS rules. The role offers a competitive salary between £55,000 and £60,000, with flexible hybrid and remote working options.

Benefits

Competitive salary

Flexible hybrid and remote working

Professional development opportunities

Supportive work environment

Qualifications

• Experience in conducting file reviews within a Wealth Management firm or in an audit/consultancy role.
• Strong understanding of FCA COBS rules, such as Suitability and Pension Transfers.
• Proven analytical skills and attention to detail.

Responsibilities

• Review client files to ensure compliance with FCA suitability requirements.
• Conduct pre-sale file review checks for higher risk products.
• Liaise with front office to resolve issues identified in reviews.
• Capture management information to report on standards of client files.

Skills

File reviews experience

Understanding of FCA COBS rules

Analytical skills

Attention to detail

Education

Level 4 qualifications (e.g. Diploma in Financial Planning)

Job description

This role involves conducting file reviews within the compliance function, ensuring adherence to regulatory standards within the asset management sector. You will be responsible for conducting file reviews to check against Suitability requirements and internal standards.

Client Details

UK Asset Manager.

Description

• 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.
• Conduct 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 ongoing standards of client files within the firm.

Profile

• 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.
• Level 4 qualifications (e.g. Diploma in Financial Planning/Regulated Financial Planning) an advantage but not a necessity.

Job Offer

• Competitive salary ranging from £55,000 to £60,000 GBP.
• Huge flexibility in regards to hybrid and remote working.
• Potential for professional development within the asset management compliance function.
• Supportive and professional work environment.

If you are looking to advance your career in compliance and risk management, apply today to join this exciting opportunity in London.