File Reviewer (Financial Services ​/ Wealth Management

File Reviewer (Financial Services / Wealth Management)

Location:

Liverpool City Centre

Hours:

Monday-Friday, 9am-5pm (35 hours per week)

Contract:

Permanent, Full Time Salary:
Dependent on experience

Essential:
Level 4 Diploma in Financial Planning (or equivalent)
Are you an experienced Financial Services professional with a Level 4 Diploma in Financial Planning and a strong knowledge of investments, pensions and UK regulation?

This is an excellent opportunity to join a supportive and growing team in Liverpool City Centre, working as part of an established compliance function as a File Reviewer.

These roles are ideal for applicants with backgrounds in:

Financial Advising / Strategic Planning Adviser Team Management within banking

Paraplanning

File checking / quality assurance

Investment & pensions compliance

Individuals from high street banks such as HSBC, Nat West, Halifax, Santander, etc.

What a Typical Day Might Look Like:

Reviewing the incoming queue of cases and selecting those requiring attention

Conducting detailed case assessments and grading findings

Providing feedback to Financial Planners Undertaking routine monitoring tasks

Signing off promotional/educational materials

Responding to internal compliance queries

Completing AML tasks

Listening to adviser calls for quality and compliance checking

What We're Looking For Level 4 Diploma in Financial Planning or equivalent (Essential)
Experience in pensions, investments and regulated advice

Strong analytical and problem‑solving skills

Practical file‑checking exposure (either formally or informally)
Solid understanding of the UK regulatory landscape, including the FCA Handbook High attention to detail with a thorough, organised approach

Ability to work under deadlines while remaining flexible and proactive

Confident using MS Office and adapting to multiple systemsA collaborative and supportive team player

What's on

Offer:

A dynamic role with genuine impact on the business's compliance framework.

Opportunity to work with senior leadership and contribute to strategic improvements.

Centrally located office in Liverpool with excellent transport links.

Supportive team environment with strong focus on professional development.

Regular staff events
25 days holiday

Cycle to work scheme+ much more!

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.