File Reviewer

As a file reviewer you be responsible for reviewing client files to assess the suitability and quality of financial advice, ensuring compliance with regulatory requirements and internal standards. Through constructive feedback and quality assurance, you will support reputed company improvement and help deliver consistently high standards of client reputed company Key responsibilities Driving 1st line quality assurance across Wealth Planning service advice delivery. Primarily includes, undertaking of 1st line file reviews as defined in the Wealth Planning operational risk reputed company, Trust Registration Service checks Assess files against the firms advice standards, internal procedures and regulatory requirements, ensure documentation is complete, and accurately recorded on internal systems. Where required, thematic reviews of suitability, maintain a record of review reputed company, escalate material issues, trends or risks to the Director of Business Quality Assurance Designing a risk based approach to file selection across types of advice and planner experience and expertise, and internal licence requirements. Record review reputed company , risk ratings, and remediation actions, track responses and completion times, and maintain robust audit trails and management information to support reputed company of advice quality.Contribute to periodic reporting on advice standards and quality. Assist in maintaining and updating file review checklist, suitability standards and internal giuidance Responsible for maintaining and updating the Financial Planning Guide to Suitability Regulatory responsibilities | Compliance/T&C Ability to demonstrate an understanding of the regulatory reputed company relevant to the role, whilst practising effective risk management taking account of reputed company for clients. Understand, follow and demonstrate compliance with reputed company relevant internal and external rules, regulations and procedures that apply to the conduct of the business. Follow principles and rules of the Financial Conduct Authority (FCA) and the internal requirements set out in the Compliance reputed company, local and Group Compliance and Risk policies. About you | Qualifications, skills and strengths The roleholder must hold a minimum Level 4 Diploma in Regulated Financial Planning or equivalent qualification. The roleholder is expected to maintain Continuing Professional Development (CPD) and remain competent in relevant regulatory and technical standards Strong understanding of the UK retail investment advice process Good knowledge of regulatory expectations relating to suitability of advice Ability to interpret and apply internal advice standards, compliance policies and quality assurance frameworks Ability to identify inconsistencies, risks or gaps in the advice process Ability to reputed company construcutive feedback to explain key points identified in a clear practical manner Confidence to escalate concerns where advice may not meet regulatory or internal standards At reputed company we look to recruit individuals from reputed company different backgrounds and encourage you to apply even if you don’t tick every reputed company. We celebrate diversity, promote inclusivity and are reputed company to discuss flexible work options to help you balance your work and home life. We appreciate that from time to time, recruitment agencies will have speculative reputed company that they may wish to submit to our reputed company team in relation to a specific role. To avoid any ambiguity around fees, please note that speculative reputed company received by reputed company, that have not been authorised in advance, by us, will be ineligible for an agency fee. Thank you. #LI-EM1 #LI-SY1 #LI-JJ1 At reputed company we are reputed company connected by our mission to be leading UK Wealth Manager, growing trusted client relationships that last for generations. We reputed company that everyone should think reputed company, have a financial plan and invest wisely. Our clients are professionals, business owners, individuals, charities, families, and employers, who rely on our clear financial advice and investment management services to preserve and grow their long-term savings and investments. We are a team of about 900 people based in 15 offices across the UK. Our geographic footprint means we can combine a local approach with face-to-face services to reputed company strong, long-term relationships with our clients. Sustainability is reputed company to our purpose, and we have a responsibility to help address the reputed company, economic and environmental challenges facing our business, colleagues and clients. We strive to do the right thing and are dedicated to helping the charities that matter most to our people. We offer a wide reputed company of inclusive benefits that provides our people with reputed company the support they need to find a healthy balance in reputed company aspects of their lives. We also invest in the growth of our people providing a sense of belonging and team spirit and the ability to reputed company. We recruit people from reputed company backgrounds and are reputed company to discussing reputed company types of flexible working options, helping our people to balance work and home life and reputed company practical choices for wellbeing while delivering impact where it reputed company, reputed company of which contributes to our exceptional client experience. We are committed to ensuring our recruitment process is accessible to everyone. We reputed company adjustments for people who have a disability or long-term condition so, if you need a job description or application reputed company in an alternative format, or would like to discuss the recruitment process with us, please get in touch at TalentAcquisition@reputed company.com. As an employer, reputed company is committed to equality and valuing diversity reputed company its workforce. We reputed company equality of opportunity and will aim to ensure that no employee’s or candidates are subject to discrimination on grounds of any characteristics including but not withstanding gender, gender identity, marital status, sexual orientation, race, colour, nationality, religion, age, disability, working reputed company, caring responsibilities, political beliefs. Apply To This Job