At a Glance
- Tasks: Review files and provide feedback to support the advice teams in compliance.
- Company: Join a fast-growing wealth management firm with a supportive culture.
- Benefits: Full training, Level 4 Diploma support, hybrid working, and career progression opportunities.
- Other info: Work from home three days a week with options in Bath or Gloucester.
- Why this job: Transition into compliance while making a real impact in a dynamic environment.
- Qualifications: Experience in file review or paraplanning and understanding of FCA principles.
The predicted salary is between 30000 - 40000 £ per year.
This is a great opportunity for a Junior Paraplanner to make the move into Compliance. You’ll receive full training to ensure you make the transition into the File Review team successfully and you’ll also receive full support to complete your Level 4 Diploma qualification. You’ll also be joining a wealth management firm that’s growing quickly but sustainably. This growth is likely to create opportunities for your further career progression either within the File Review team or across the wider Compliance function. This is a hybrid role with just 2 days a week spent in the office, the other 3 working from home. You can choose between the firm’s Bath and Gloucester offices.
What you’ll be doing:
- Review pre- and post-advice files in line with the firm’s T&C scheme, providing constructive feedback and support to the advice teams to deal with any remedial action quickly.
- Assist with business complaint investigations and business issues and liaise with staff to resolve these in a timely manner.
- Produce monthly and quarterly MI to support file checking.
- Keep up to date with regulatory developments and identify any issues that may impact the business, escalating as appropriate.
What we’re looking for:
- Experience in a similar file review position or paraplanning within the Wealth Management arena and a good understanding of FCA principles and Conduct of Business rules.
- Experience of Suitability Reports and the regulatory requirements involved with them.
- Working towards your CII Level 4 Diploma.
Company: Ambitious, fast-growing wealth management firm
Location: Bath, Gloucester, Somerset
Workplace: Hybrid Working
Trainee File Reviewer (Wealth Management) employer: Willow Resourcing
Join a fast-growing Consumer Lending firm in London, where you'll benefit from a supportive work culture that prioritises employee development and mentorship. With a talented Head of Compliance guiding you, this role offers a unique opportunity to expand your skills while contributing to the company's exciting growth trajectory. Enjoy hybrid working arrangements and be part of a dynamic team that values compliance excellence and career progression.
