File Reviewer

We are delighted to be working with an established and highly prestigious, London based investment management business. They require a Quality Assurance Analyst to undertake client reviews to assess adherence to suitability across the Private Wealth Management division, to ensure that it's in line with internal and regulatory standards.
This is an initial 3 month fixed term, remote working contract, that is highly likely to extend and could convert to a permanent role. Reporting to the Advice and Competency Manger, the successful candidate will be expected to promote the business externally and to a positive ambassador.
Primary Responsibilities:
To undertake suitability reviews according to an agreed timetable, to ensure that advice is in line with internal and regulatory standards.To contribute to a "continuous improvement" culture and that the outcomes being achieved for clients are suitable and in compliance with all applicable regulations.To provide feedback and support to Investment Managers as to the standards of advice and suitability required.Ensure all checked client files are compliant within the scope of suitability requirements.Carry out post initial suitability checks on portfolio construction and individual managed advisory advice. Check Execution only accounts for evidence of 'appropriateness'.Periodic suitability reports to be checked post issue on a sample basis. Investment Managers to be recommended for sign off once a good track record has been established.Work with and provide feedback to investment managers on an arising basis, highlighting examples of good and bad practice, and agreeing an action plans to address deficiencies with appropriate follow up. Essential requirements:
Minimum of 3 years' experience within a file review/suitability checking role in wealth managementLevel 4 diploma qualified in financial planning Please share your CV if interested and we will respond promptly.