OVERALL SUMMARY
Join TrinityBridge Compliance Team where you will be responsible for conducting file reviews to check against Suitability requirements and internal standards. This role can be based in either Northwich or Chester.
RESPONSIBILITIES
* Review client files to ensure that any financial and investment advice given to potential and existing clients meet the overarching suitability requirements of the Financial Conduct Authority
* Conducting pre-sale file review checks for advice on higher risk products
* Liaise with front office staff to ensure any issues identified following the review of client files are remediated in a timely manner
* Capture clear management information to allow the firm to measure and report to relevant management committees on the on-going standards of client files within the firm
* Liaise with the wider Compliance and Risk teams as necessary
* Ability to demonstrate an understanding of the regulatory framework relevant to the role, whilst practising effective risk management taking account of outcomes for clients
WE WOULD LOVE TO HEAR FROM YOU IF:
* Experience in conducting file reviews within a Wealth Management firm or within an audit/consultancy role, working in the Wealth Management sector
* Strong understanding of FCA COBS rules (e.g. Suitability, Pension Transfers)
* Strong analytical skills and attention to detail, with an ability to review large amounts of information whilst providing a concise view of the client file
* Strong report-writing skills
* Ability to work quickly and accurately to tight deadlines
* Be a pro-active individual with a “can-do” approach
* Ability to work with people at all levels.
At TrinityBridge we look to recruit individuals from all different backgrounds and encourage you to apply even if you don’t tick every box. We celebrate diversity, promote inclusivity and are open to discuss flexible work options to help you balance your work and home life.
We appreciate that from time to time, recruitment agencies will have speculative CVs that they may wish to submit to our Talent Acquisition team in relation to a specific role.
To avoid any ambiguity around fees, please note that speculative CVs received by TrinityBridge, that have not been authorised in advance, by us, will be ineligible for an agency fee. Thank you.
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