At a Glance
- Tasks: Review financial files, assess cases, and provide feedback to enhance compliance.
- Company: Join a supportive team in a growing financial services firm in Liverpool.
- Benefits: Dynamic role, 25 days holiday, cycle to work scheme, and professional development opportunities.
- Other info: Centrally located office with excellent transport links and regular staff events.
- Why this job: Make a real impact on compliance while working with senior leadership.
- Qualifications: Level 4 Diploma in Financial Planning and experience in investments and pensions.
The predicted salary is between 36000 - 60000 £ 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
- Confident 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
- Much more!
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) in Liverpool employer: Search
Join a dynamic and supportive team in the heart of Liverpool City Centre, where your expertise as a File Reviewer will directly contribute to enhancing our compliance framework. We prioritise professional development and offer a collaborative work culture, alongside competitive benefits such as 25 days holiday and a cycle to work scheme, making us an excellent employer for those seeking meaningful and rewarding careers in Financial Services.
StudySmarter Expert Advice🤫
We think this is how you could land File Reviewer (Financial Services / Wealth Management) in Liverpool
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector, especially those who have experience in compliance or file reviewing. A friendly chat can lead to insider info about job openings that might not even be advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of UK regulations and the FCA Handbook. We recommend doing mock interviews with friends or using online resources to practice common questions related to file reviewing and compliance.
✨Tip Number 3
Showcase your analytical skills! During interviews, be ready to discuss specific examples where you've successfully assessed files or provided feedback. This will demonstrate your attention to detail and problem-solving abilities, which are crucial for this role.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who take the initiative to engage directly with us.
We think you need these skills to ace File Reviewer (Financial Services / Wealth Management) in Liverpool
Some tips for your application 🫡
Tailor Your CV:Make sure your CV highlights your Level 4 Diploma in Financial Planning and any relevant experience in financial advising or compliance. We want to see how your background aligns with the role, so don’t be shy about showcasing your skills!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you’re passionate about the File Reviewer position and how your experience with investments and pensions makes you a perfect fit for our team. Keep it engaging and personal!
Showcase Your Attention to Detail:As a File Reviewer, attention to detail is key. In your application, highlight specific examples where your thoroughness made a difference, whether in file checking or compliance tasks. We love seeing candidates who take pride in their work!
Apply Through Our Website:We encourage you to apply directly through our website for the best chance of getting noticed. It’s super easy, and you’ll be able to attach all your documents in one go. Plus, we love seeing applications come through our own platform!
How to prepare for a job interview at Search
✨Know Your Stuff
Make sure you brush up on your knowledge of investments, pensions, and the UK regulatory landscape. Familiarise yourself with the FCA Handbook and be ready to discuss how these regulations impact your work as a File Reviewer.
✨Showcase Your Experience
Prepare specific examples from your past roles that highlight your file-checking experience and analytical skills. Think about situations where you provided feedback to financial planners or handled compliance queries, as these will resonate well with the interviewers.
✨Be Detail-Oriented
Since attention to detail is crucial for this role, demonstrate your thoroughness during the interview. You might want to mention how you ensure accuracy in your assessments and how you manage your workload under tight deadlines.
✨Emphasise Teamwork
This position requires a collaborative approach, so be prepared to discuss how you've worked effectively within a team in the past. Share examples of how you’ve supported colleagues or contributed to a positive team environment, as this will show you’re a great fit for their supportive culture.
