This role involves conducting file reviews within the compliance function, ensuring adherence to regulatory standards within the asset management sector. You will be responsible for conducting file reviews to check against Suitability requirements and internal standards.
Client Details
UK Asset Manager.
Description
*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.
*Conducting pre-sale file review checks for advice on higher risk products.
*Liaise with front office staff to ensure any issues identified following the review of client files are remediated in a timely manner.
*Capture clear management information to allow the firm to measure and report to relevant management committees on the on-going standards of client files within the firm.
Profile
A successful File Review - Compliance Function - Asset Management professional should 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.
*Level 4 qualifications (e.g. Diploma in Financial Planning/Regulated Financial Planning) an advantage but not a necessity.
Job Offer
*Competitive salary ranging from £55,000 to £60,000 GBP.
*Huge flexibility in regards to hybrid and remote working.
*Potential for professional development within the asset management compliance function.
*Supportive and professional work environment.
If you are looking to advance your career in compliance and risk management, apply today to join this exciting opportunity in London.