Investment File Review Officer

  • Location


  • Discipline:


  • Job type:


  • Salary:

    £Competitive Salary

  • Consultant:


  • Email:


  • Job ref:


  • Published:

    5 months ago

Investment and Financial Planning firm, located in the North West, are currently looking to hire a Regulatory Review Officer on a 12 month fixed term contract.


Key responsibilities include:

  • To carry out investigative and surveillance work across the Group.
  • To conduct interviews with senior personnel in relation to findings.
  • To implement the regulatory file review process and work and to complete any and all work in an accurate and efficient manner.
  • In the case of non-compliance ensure that relevant and accurate details are presented to the business for resolution.
  • To maintain and develop good working relationships with internal staff members and teams including senior personnel.
  • To be prepared to spend time away from home; regular travel to the Regional offices to complete work.
  • To maintain full and accurate records of any and all work carried out.
  • To produce timely and accurate reports for business consideration.
  • To provide an advisory service on regulatory issues and help to provide an efficient and effective service to the Group.
  • To contribute to and carry out projects as required.
  • Carry out any and all compliance duties as required in a prompt and efficient manner.

Experience Required:

  • Demonstrable/previous experience within an Investments / wealth management business.
  • Experience reviewing Investments files.
  • Knowledge of FCA regulations in relation to Investments / Wealth Management
  • Diploma level qualified