At a Glance
- Tasks: Review financial files, assess cases, and provide feedback to enhance compliance.
- Company: Join a supportive team at a leading financial services consultancy in Liverpool.
- Benefits: Enjoy 25 days holiday, cycle to work scheme, and professional development opportunities.
- Other info: Dynamic role with excellent transport links and regular staff events.
- Why this job: Make a real impact on compliance while working with experienced professionals.
- Qualifications: Level 4 Diploma in Financial Planning and experience in investments and pensions.
The predicted salary is between 30000 - 40000 £ per year.
Location: Liverpool City Centre
Hours: Monday-Friday, 9am-5pm (35 hours per week)
Contract: Permanent, Full Time
Salary: Dependent on experience
Essential: Level 4 Diploma in Financial Planning (or equivalent)
Are you an experienced Financial Services professional with a Level 4 Diploma in Financial Planning and a strong knowledge of investments, pensions and UK regulation? This is an excellent opportunity to join a supportive and growing team in Liverpool City Centre, working as part of an established compliance function as a File Reviewer.
These roles are ideal for applicants with backgrounds in:
- Financial Advising / Strategic Planning
- Adviser Team Management within banking
- Paraplanning
- File checking / quality assurance
- Investment & pensions compliance
Individuals from high street banks such as HSBC, NatWest, Halifax, Santander, etc.
What a Typical Day Might Look Like:
- Reviewing the incoming queue of cases and selecting those requiring attention
- Conducting detailed case assessments and grading findings
- Providing feedback to Financial Planners
- Undertaking routine monitoring tasks
- Signing off promotional/educational materials
- Responding to internal compliance queries
- Completing AML tasks
- Listening to adviser calls for quality and compliance checking
What We're Looking For:
- Level 4 Diploma in Financial Planning or equivalent (Essential)
- Experience in pensions, investments and regulated advice
- Strong analytical and problem‑solving skills
- Practical file‑checking exposure (either formally or informally)
- Solid understanding of the UK regulatory landscape, including the FCA Handbook
- High attention to detail with a thorough, organised approach
- Ability to work under deadlines while remaining flexible and proactive
- Confidence using MS Office and adapting to multiple systems
- A collaborative and supportive team player
What's on Offer:
- A dynamic role with genuine impact on the business's compliance framework.
- Opportunity to work with senior leadership and contribute to strategic improvements.
- Centrally located office in Liverpool with excellent transport links.
- Supportive team environment with strong focus on professional development.
- Regular staff events.
- 25 days holiday.
- Cycle to work scheme.
Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.
File Reviewer (Financial Services / Wealth Management) employer: Career Choices Dewis Gyrfa Ltd
Search Consultancy LTD is an exceptional employer located in the heart of Liverpool City Centre, offering a supportive and collaborative work environment that prioritises professional development. With a focus on compliance within the financial services sector, employees benefit from a dynamic role that allows for meaningful contributions to the business, alongside competitive perks such as 25 days holiday and a cycle to work scheme. Join a team that values your expertise and fosters growth while enjoying excellent transport links and regular staff events.
Contact Details:
Career Choices Dewis Gyrfa Ltd Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land File Reviewer (Financial Services / Wealth Management)
✨Tap into Campus Networks
If you're still in uni, don’t forget to engage with your campus's career services and attend finance-related events. Banks often do presentations and recruitment drives on campus, so put yourself out there and make use of these opportunities to show off your passion for the field.
✨Get Certified
Consider pursuing relevant certifications like the CFA or ACCA while you’re job hunting. They not only beef up your CV but also connect you with professional bodies which can lead to networking opportunities and even job openings in banking and financial services.
✨Connect on Professional Platforms
Join finance-focused groups on platforms like LinkedIn and engage in discussions. This can really help you stand out from the crowd, allowing potential employers to see your knowledge and interest in industry trends. Plus, you might stumble upon job postings shared exclusively within the group.
✨Apply Directly and Be Proactive
Don’t shy away from reaching out directly to firms like Career Choices Dewis Gyrfa Ltd. Use their websites and apply through them, but also consider following up with a polite email to express your enthusiasm. Being proactive can make a huge difference in getting noticed in the competitive financial services sector.
We think you need these skills to ace File Reviewer (Financial Services / Wealth Management)
Some tips for your application 🫡
Show Off Your Numbers!:In the banking and financial services world, quantifiable achievements are key. Make sure your CV highlights your grades in relevant subjects, any financial certifications you hold, and specific projects where you've delivered measurable results. Employers love to see how your skills translate into real-world success.
Tailor Your Cover Letter to the Role:When applying for a full-time position, your cover letter should make a direct connection between your experience and the job description. Don't just state your enthusiasm for finance—dive into how your background in banking or financial analysis sets you apart. Let your passion shine through while being specific about what you can bring to Career Choices Dewis Gyrfa Ltd.
Include Relevant Financial Software Experience:If you've worked with financial modelling tools or software like Excel, SAP, or specific analytical tools during your studies or internships, bring that up! Highlighting your proficiency can really make your application pop and show you're ready to hit the ground running in a full-time role.
Research and Reflect:Before hitting that 'apply' button on Career Choices Dewis Gyrfa Ltd's website, do a little digging. Look up their recent projects, values, and culture. Reflecting their ethos in your application can make a huge difference and show you’re genuinely interested in being part of the team!
How to prepare for a job interview at Career Choices Dewis Gyrfa Ltd
✨Brush Up on Financial Analysis Skills
Make sure you're well-versed in financial concepts and analytical techniques relevant to banking and financial services. Get comfortable with tools like Excel for modelling or financial forecasting, as technical questions in this area are common during interviews with Career Choices Dewis Gyrfa Ltd.
✨Prepare for Case Studies
Expect to tackle case studies that demonstrate your problem-solving skills in real-world banking scenarios. Familiarise yourself with the types of problems you might face—think risk assessments or investment evaluations—and be ready to articulate your thought process clearly.
✨Show Your Passion for Finance
Since this is a full-time position, employers at Career Choices Dewis Gyrfa Ltd will be keen to see your genuine interest in finance. Be prepared to discuss recent industry trends or news articles that excite you, showcasing your enthusiasm and engagement with the field.
✨Network with Industry Professionals
Before your interview, reach out to current or former Career Choices Dewis Gyrfa Ltd employees on platforms like LinkedIn. They'll offer unique insights into the company's culture and the interview process, which can give us a delightful edge in showcasing a good fit for the team.
