File Checker / Case Auditor sought for a well known London wealth and investment management firm.
About The Company
The firm is a leading provider of wealth and investment management services to private clients, professional advisers, charities, corporates and institutions. Combined, they manage almost £9 billion of client assets from 13 offices across the UK, employing c.500 professionals.
The firm is part AA-rated financial services group that was established in 1918. The Group provides a range of financial products and services to over 10 million clients globally and is listed on the Johannesburg Stock Exchange. The firm has attained their current size, strength and reputation by providing a high quality, personalised service to clients, whatever their stage of life or financial ambitions.
About The Role
Your role will be to monitor the advice given in historical cases by the Discretionary Fund Manager’s to ensure that the advice, investment reports and suitability letters issued by the business are in-line with company standards and FCA regulations.
It is vital that the advice/products that were recommended are suitable; ensuring that any inconsistencies/issues are spotted and raised.
The role will also give you the opportunity to provide support to the Head of Advice Delivery with a range of process improvements within the department.
Skills and Experience
Successful candidates are likely to demonstrate the following:
Good knowledge of Suitability (Minimum QCF Level 4 Diploma qualified, preferably working towards Chartered/ IMC) and at least 3-5 years working in a Discretionary/Advisory Managed environment.
Strong analytical capability
Experience of monitoring portfolio management or wealth management regulated individuals/ dealing with advisers
Confident and articulate with excellent written and verbal communication skills
Good attention to detail and sound planning prioritisation, & organisational skills