File Reviewer - Asset Management - Compliance Function - FTC

Page Personnel; Greater London; Hybrid; GBP 55,000 - 60,000; Full time

Job summary

A leading recruitment agency is seeking a Compliance Officer for a hybrid role focused on file reviews within an Asset Management firm. The successful candidate will ensure compliance with FCA regulations, conduct pre-sale checks, and liaise with staff to resolve any issues. Competitive salary between £55,000 and £60,000, with opportunities for professional development in a supportive environment.

Benefits

Competitive salary

Hybrid working flexibility

Professional development opportunities

Supportive work environment

Qualifications

• Experience in conducting file reviews in Wealth Management or audit/consultancy.
• Strong understanding of FCA regulations related to Suitability and Pension Transfers.

Responsibilities

• Review client files for compliance with FCA standards.
• Conduct pre-sale checks for higher risk products.
• Liaise with front office to remediate identified issues.
• Capture management information for reporting on client file standards.

Skills

File review experience

Understanding of FCA COBS rules

Analytical skills

Attention to detail

Education

Level 4 qualifications in Financial Planning

Job description

About Our Client

UK Asset Manager.

Job Description

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

Responsibilities

• Review client files to ensure that any financial and investment advice given to potential and existing clients meet the overarching suitability requirements of the FCA.
• 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

• 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.