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File Reviewer

Job Details

Role Type
£65000 - £67500 per annum + Plus discretionary bonus and benefits
Job Ref: J1933_1715873216

Job Title: File Reviewer

Sector - Financial Services

Location: City of London, UK (Hybrid working)

Salary: £65,000 - £67,500 per annum DOE, plus 2 discretionary annual bonuses and excellent benefits.

Our client, based in the heart of the City of London, is seeking a meticulous and knowledgeable File Reviewer. The successful candidate will play a pivotal role in ensuring that all financial and investment advice provided to clients aligns with regulatory standards and internal guidelines. This is an excellent opportunity for a detail-oriented individual with a strong background in financial planning and regulatory compliance.

Key Responsibilities of the File Reviewer:

  • Review suitability reports pertaining to money purchase pensions, ISAs, General Investment Accounts, investment bonds (onshore and offshore), and trusts, ensuring adherence to Financial Conduct Authority (FCA) regulations and internal standards.
  • Proactively engage with internal stakeholders to gather additional information and clarification when necessary.
  • Provide comprehensive feedback to report writers and address any follow-up inquiries.
  • Collaborate with the Training Program Manager to identify areas for improvement and development within the advice team.
  • Initiate discussions on potential process enhancements with management and senior leadership.
  • Participate in roundtable meetings with report writers to analyze review findings and propose actionable recommendations for improvement.

Qualifications needed for the role of File Reviewer:

  • University graduate or equivalent combination of education and experience.
  • Level 4 qualified with a Diploma in Financial Planning/Regulated Financial Planning.
  • Chartered status or Level 6 qualification would be advantageous, along with AF3/G60 PTS qualification.
  • Exceptional understanding of financial planning principles, particularly in pension planning.
  • Proficient knowledge of the FCA's COBS requirements for suitability.
  • Previous experience in reviewing files containing personal recommendations for retail clients.
  • Ability to articulate complex issues effectively, both in writing and face-to-face.
  • Strong interpersonal skills with a focus on delivering efficient, professional, and courteous service.

Please be aware this advert will remain open until the vacancy has been filled. Interviews will take place throughout this period, therefore we encourage you to apply early to avoid disappointment.

Tate is acting as an Employment Business in relation to this vacancy.

Tate is committed to promoting equal opportunities. To ensure that every candidate has the best experience with us, we encourage you to let us know if there are any adjustments we can make during the application or interview process. Your comfort and accessibility are our priority, and we are here to support you every step of the way. Additionally, we value and respect your individuality, and we invite you to share your preferred pronouns in your application.

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