Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Review client files to ensure compliance and accuracy in financial services.
- Company: Join a prestigious wealth management firm in Blackpool, known for excellence.
- Benefits: Enjoy a competitive salary, hybrid working options, and a supportive team environment.
- Why this job: Make a real impact in compliance while working with industry experts.
- Qualifications: Experience in file review or compliance within wealth management is essential.
- Other info: This is a 12-month fixed-term contract with opportunities for growth.
The predicted salary is between 36000 - 60000 £ per year.
Are you detail-oriented, compliance-savvy, and experienced in reviewing client files within financial services? We’re partnering with a prestigious wealth management firm based in Blackpool, currently seeking a meticulous Client File Reviewer to join their team on a 12-month fixed-term contract.
The Role: As a Client File Reviewer, you’ll play a key role in ensuring regulatory compliance and maintaining the highest standards of client care. Working closely with advisers and compliance teams, you’ll review and assess client files to ensure suitability, accuracy, and adherence to FCA guidelines.
Key Responsibilities:
- Conduct detailed file reviews of new and existing client cases
- Identify and highlight areas of concern or non-compliance
- Provide clear, constructive feedback to advisers and paraplanners
- Assist in implementing improvements and remedial actions
- Maintain accurate records and ensure audit trail integrity
- Support wider compliance functions during audits and internal reviews
Requirements:
- Previous experience in a similar file review or compliance role within wealth management / financial planning
- Strong working knowledge of FCA regulations and suitability requirements
- Excellent attention to detail and analytical thinking
- Strong communication and report-writing skills
What’s on Offer:
- Competitive salary
- Supportive, collaborative working environment
- Hybrid/flexible working considered
- Opportunity to work with a highly regarded firm in the wealth management space
Interested in this opportunity? Apply today to join a team where your compliance expertise will truly make an impact. For a confidential discussion, contact Paige Williams at SJC Partners or submit your CV directly.
Client File Reviewer - Wealth Management - Blackpool - 12 Month FTC employer: SJC Partners
Contact Detail:
SJC Partners Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Client File Reviewer - Wealth Management - Blackpool - 12 Month FTC
✨Tip Number 1
Familiarise yourself with FCA regulations and suitability requirements. This knowledge will not only help you in the interview but also demonstrate your commitment to compliance, which is crucial for the role.
✨Tip Number 2
Network with professionals in the wealth management sector. Attend industry events or join relevant online forums to connect with others who can provide insights or even refer you to opportunities within firms like the one we're partnering with.
✨Tip Number 3
Prepare to discuss specific examples from your previous experience where you identified compliance issues or improved processes. This will showcase your analytical skills and attention to detail, both of which are essential for a Client File Reviewer.
✨Tip Number 4
Research the wealth management firm you're applying to. Understanding their values, culture, and recent developments will allow you to tailor your conversation during interviews and show that you're genuinely interested in being part of their team.
We think you need these skills to ace Client File Reviewer - Wealth Management - Blackpool - 12 Month FTC
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Client File Reviewer. Familiarise yourself with the key tasks mentioned in the job description, such as conducting detailed file reviews and ensuring compliance with FCA guidelines.
Tailor Your CV: Highlight your relevant experience in file review or compliance roles within wealth management. Emphasise your knowledge of FCA regulations and any specific achievements that demonstrate your attention to detail and analytical skills.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for compliance and client care. Mention specific examples from your past work that align with the responsibilities of the role, such as providing constructive feedback or maintaining accurate records.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors. Ensure that your application is clear, concise, and free of typos, as attention to detail is crucial for this position.
How to prepare for a job interview at SJC Partners
✨Showcase Your Attention to Detail
As a Client File Reviewer, attention to detail is crucial. Be prepared to discuss specific examples from your past experience where your meticulous nature helped identify compliance issues or improved processes.
✨Demonstrate Your Knowledge of FCA Regulations
Make sure you brush up on FCA regulations and suitability requirements before the interview. Being able to articulate how these regulations impact client file reviews will show that you are well-prepared and knowledgeable.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills. Think about potential compliance issues you might encounter and how you would address them, as this will demonstrate your analytical thinking.
✨Communicate Clearly and Effectively
Strong communication skills are essential for providing feedback to advisers and paraplanners. Practice articulating your thoughts clearly and concisely, as this will be key in showcasing your ability to collaborate effectively.
