Compliance Support & File Review Consultant - London

Our Client is an International, well-known, successful Investment / Wealth Management Company. They have offices in 11 Different Countries around the World. They are now looking to add to their already busy Compliance Team with an individual who has good all-round Compliance and File / Business Review Experience.


The role helps to ensure the firm and its employees are in compliance with applicable regulations. The successful candidate would review new business to ensure good client outcomes are delivered. This position may be suitable for an existing compliance professional, an ex-adviser that wants to move into a back office function or a Paraplanner looking for a new challenge.

The ideal candidate does need to have relevant experience and a positive can do attitude. In addition, they should be well organised with strong analytical skills, a creative mind set, sound judgement and business acumen, an aptitude for learning, excellent communication skills, strong work ethic, the ability to work collaboratively as a member of a diverse team, and internal motivation to work independently.


As part of the role, you will need to:

· Conduct file reviews on new business and feedback your findings

· Sign off remedial work following file reviews

· Maintain department records

· Keep abreast of industry and technical developments

· Review and sign off financial promotions in line with business needs

· Provide day-to-day compliance advice and support to the business

· Provide guidance and support on the implementation and/or enhancements of procedures and controls as necessary

· Ongoing involvement with implementing compliance monitoring activities

· Support the Head of Compliance and other areas as directed

· Maintain good working relationships with members of the UK and US legal and compliance team to help ensure a culture of compliance and a congruent compliance programme throughout the organisation


· 4 / 5 years of Financial Services Experience

· Level 4 Diploma Qualification as a minimum with a Pensions Bias

· Strong understanding of regulatory requirements

· Good understanding of Compliance best practice within the wealth management sector

· Microsoft Office Suite skills (Word, Excel, PowerPoint, Outlook)

· Excellent attention to detail

· Excellent verbal and written communicator with good skills in developing relationships and working with staff at all levels

· Multilingualism an asset

There is an Excellent Salary & Benefits Package available with this role!

Required skills

  • Compliance
  • IFA
  • Level 4 Diploma
  • Pensions Bias
  • File / Business Review

Application questions

Are you a UK / EU Passport Holder?
Do you have experience of working in a similar role?
Are you Level 4 Diploma Qualified?
Do you have IFA / Banking Compliance Experience?

Reference: 33811622

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