File Reviewer - Asset Management - Compliance Function - FTC

Michael Page (UK); City Of London; Hybrid; GBP 55,000 - 60,000; Full time

Job summary

A leading recruitment agency is seeking a File Review professional in London. This role involves ensuring compliance with FCA suitability requirements and conducting thorough reviews of client files. Ideal candidates should possess strong analytical skills and experience in Wealth Management. The position offers a competitive salary of £55,000 to £60,000 GBP and flexibility for hybrid working.

Benefits

Competitive salary

Hybrid and remote working flexibility

Professional development opportunities

Supportive work environment

Qualifications

• Experience in conducting file reviews within Wealth Management or audit/consultancy roles.
• Strong understanding of FCA COBS rules.
• Strong analytical skills and attention to detail.

Responsibilities

• Review client files for suitability requirements of the Financial Conduct Authority.
• Conduct pre-sale file review checks for higher risk products.
• Liaise with front office staff on identified issues.
• Capture management information for reporting on client file standards.

Skills

Conducting file reviews

Understanding FCA COBS rules

Strong analytical skills

Attention to detail

Education

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

Job description

• File Review role within Asset Management firm.
• 12-month fixed term contract - Hybrid working.

About Our Client

UK Asset Manager.

Job 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.
• 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.

The Successful Applicant

A successful File Review - Compliance Function - Asset Management professional should have:

• 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.

What's on 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.