We are thrilled to have partnered with a leading independent financial advice firm in Liverpool, 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 Transfers

What'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!

 
What next?
Hit apply or contact Dan directly!
[email protected]