Compliance Suitability​/File Reviews - Wealth

MERJE are working with this well known wealth management business as they look to hire a Business Assurance & Suitability specialist in their London Private Client team.

The team you will be a part of provides regulated financial and investment advice to all existing clients in the UK and across Europe. As a Business Assurance specialist, you will review and assess suitability reports related to money purchase pensions, ISAs, General Investment Accounts, investment bonds (onshore and offshore) and trusts to ensure that all financial and investment advice recommendations are in their clients' best interests and meet internal standards.

• Review suitability reports to ensure that any financial and investment advice given to potential and existing clients meet the overarching suitability requirements of the Financial Conduct Authority
• Provide feedback to report writers and respond to any follow-up enquiries
• Discuss possible process improvements with management
• Attend roundtable meetings with report writers to discuss themes identified in reviews and suggest areas for improvement

• Relevant suitability or file reviews type experience gained in a wealth management environment
• Level 6/Chartered status would be an advantage, as would AF3/G60 PTS qualification
• Very strong understanding of financial planning principles with a specialism in pension planning
• Very strong understanding of the FCA's COBS requirements for suitability
• Strong people skills with the ability to provide an efficient and professional service