File Reviewer at a Leading Financial Advisory Firm (Remote)
Are you ready to advance your career in the financial services industry? We invite you to explore an exciting opportunity as a
File Reviewer
at a top-tier financial advisory firm known for delivering tailored wealth management solutions to high-net-worth clients.
Role Overview:
As a File Reviewer, you will ensure the quality and compliance of advisory services by meticulously reviewing client files. Your work will play a vital role in maintaining regulatory standards and upholding the firm's success.
Why Apply:
- Impactful Work: Your thorough file reviews will ensure the accuracy, completeness, and suitability of advisory services, directly contributing to client satisfaction and regulatory compliance.
- Professional Growth: Collaborate closely with compliance, legal, and advisory teams, while enhancing your expertise in regulatory practices like MiFID II, FCA rules, and GDPR.
- Dynamic Environment: Thrive in a fast-paced, detail-oriented role where your ability to identify and escalate compliance issues will be highly valued.
- Continuous Learning: Stay ahead of industry changes and regulatory developments through ongoing training and contribute to improving file review processes.
- Supportive Culture: Join a team committed to integrity, professionalism, and ethical standards, where your contributions to maintaining a compliant and effective operation will be recognized.
What do you need:
- Background in finance Services, business administration, or Law.
- 3-5 years of experience in a similar role within financial services.
- Professional certifications (CISI, CFA, CFP) are preferred.
- Strong attention to detail and passion for compliance.
This role is ideal for an experienced paraplanner not seeking to become a Financial Adviser. Suitable candidates might also hold titles similar to Financial Compliance Specialist, Quality Assurance Analyst. If you have a keen eye for detail and a passion for regulatory compliance, this could be the perfect fit for you.