OVERALL SUMMARY

The role is part of the Central Compliance team. We are looking to hire a file reviewer within our existing Compliance team. You will be responsible for conducting file reviews to check against Suitability requirements and internal standards.

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 Financial Conduct Authority.

Liaise with front office staff to ensure any issues identified within the review of client files are updated

Conducting pre-sale file review checks for advice on higher risk products

Create the management information to allow CBAM to measure and report to relevant management committees on the on-going standards of client files within the firm

Liaise with the wider Compliance and Risk teams as necessary

Ability to demonstrate an understanding of the regulatory framework relevant to the role, whilst practising effective risk management taking account of outcomes for clients.

Regulatory Responsibilities (Compliance/T&C)

Ability to demonstrate an understanding of the regulatory framework relevant to the role, whilst practising effective risk management taking account of outcomes for clients.

WE WOULD LOVE TO HEAR FROM YOU IF YOU 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, with an ability to review large amounts of information whilst providing a concise view of the client file.

Strong report-writing skills

Ability to work quickly and accurately to tight deadlines.

Be a pro-active individual with a “can-do” approach.

Ability to work with people at all levels.

Level 4 qualifications e.g. Diploma in Financial Planning/Regulated Financial Planning) an advantage but not a necessity

Good knowledge of Excel and PowerPoint - SharePoint a benefit).

As an employer, Close Brothers Asset Management is committed to equality and valuing diversity within its workforce. We provide equality of opportunity and will aim to ensure that no employees 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 pattern, caring responsibilities, political beliefs.

We appreciate that from time to time, recruitment agencies will have speculative CVs that they may wish to submit to our Talent Acquisition team in relation to a specific role.

To avoid any ambiguity around fees, please note that speculative CVs received by Close Brothers, that have not been authorised in advance, by us, will be ineligible for an agency fee. Thank you.

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