Compliance File Reviewer (Wealth Management)

File Reviewer

Wealth Management

Location: Bath (Hybrid – 2 days a week in the office)

Salary: To £40k + bonus + benefits

Are you the right candidate for this opportunity Make sure to read the full description below.

What’s in it for you?

This is a great opportunity for a Paraplanner to make the move into Compliance.

You’ll receive full training to ensure you make the transition into the File Review team successfully and you’ll also receive full support to complete your Level 4 Diploma (if required).

You’ll also be joining a wealth management firm that’s growing quickly but sustainably. This growth is likely to create opportunities for your further career progression either within the File Review team or across the wider Compliance function.

What you’ll be doing

You’ll review pre- and post- advice files in line with firm’s T&C scheme, providing constructive feedback and support to the advice teams to deal with any remedial action quickly.

You’ll also assist with business complaint investigations and business issues and liaise with staff to resolve these in a timely manner.

In addition, you’ll keep up to date with regulatory developments and identify any issues that may impact the business, escalating as appropriate.

What we’re looking for

You’ll either have spent time in a similar file review position or in paraplanning, within the Wealth Management arena and have a good understanding of FCA principles and Conduct of Business rules.

You’ll be working towards your CII Level 4 Diploma.

Interested?

If so, click apply and send over your CV.

Not got an up to date CV?

Don’t worry, you can always give me (Mark) a call on for a confidential discussion or email me at letting me know that you’re interested. xwzovoh We’ll pick it up from there.