File Reviewer 12 month FTC

OVERALL SUMMARY

Join TrinityBridge Compliance Team where you will beresponsible for conducting file reviews to check against Suitability requirements and internal standards. This role can be based in either Northwich or Chester.

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
• 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
• 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

WE WOULD LOVE TO HEAR FROM YOU IF:

• 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.

At TrinityBridge we look to recruit individuals from all different backgrounds and encourage you to apply even if you dont tick every box. We celebrate diversity promote inclusivity and are open 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 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 thatspeculative CVs received by TrinityBridge that have not been authorised in advance by us will be ineligible for an agency fee. Thank you.

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At TrinityBridge we are all connected by our mission to be the best place in the UK for wealth professionals and their clients.

We believe that everyone should think ahead 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 enable strong long-term relationships with our clients.

Sustainability is fundamental to our purpose and we have a responsibility to help address the social 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 range of inclusive benefits that provides our people with all the support they need to find a healthy balance in all 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 thrive.

We recruit people from all backgrounds and are open to discussing all types of flexible working options helping our people to balance work and home life and make practical choices for wellbeing while delivering impact where it matters all of which contributes to our exceptional client experience.

We are committed to ensuring our recruitment process is accessible to everyone. We make adjustments for people who have a disability or long-term condition so if you need a job description or application form in an alternative format or would like to discuss the recruitment process with us please get in touch at.