[Hiring] File Reviewer @TrinityBridge

Role Description

As a file reviewer, you will be responsible for reviewing client files to assess the suitability and quality of financial advice, ensuring compliance with regulatory requirements and internal standards. Through constructive feedback and quality assurance, you will support continuous improvement and help deliver consistently high standards of client outcomes.

• Driving 1st line quality assurance across Wealth Planning service advice delivery.
• Undertaking 1st line file reviews as defined in the Wealth Planning operational risk framework.
• Conducting Trust Registration Service checks.
• Assessing files against the firm's advice standards, internal procedures, and regulatory requirements.
• Ensuring documentation is complete and accurately recorded on internal systems.
• Conducting thematic reviews of suitability where required.
• Maintaining a record of review outcomes and escalating material issues, trends, or risks to the Director of Business Quality Assurance.
• Designing a risk-based approach to file selection across types of advice and planner experience and expertise.
• Recording review outcomes, risk ratings, and remediation actions.
• Tracking responses and completion times, and maintaining robust audit trails and management information to support oversight of advice quality.
• Contributing to periodic reporting on advice standards and quality.
• Assisting in maintaining and updating file review checklist, suitability standards, and internal guidance.
• Responsible for maintaining and updating the Financial Planning Guide to Suitability.

Qualifications

• The roleholder must hold a minimum Level 4 Diploma in Regulated Financial Planning or equivalent qualification.
• The roleholder is expected to maintain Continuing Professional Development (CPD) and remain competent in relevant regulatory and technical standards.
• Strong understanding of the UK retail investment advice process.
• Good knowledge of regulatory expectations relating to suitability of advice.
• Ability to interpret and apply internal advice standards, compliance policies, and quality assurance frameworks.
• Ability to identify inconsistencies, risks, or gaps in the advice process.
• Ability to provide constructive feedback to explain key points identified in a clear practical manner.
• Confidence to escalate concerns where advice may not meet regulatory or internal standards.

Requirements

• At TrinityBridge, we are all connected by our mission to be a leading UK Wealth Manager, growing trusted client relationships that last for generations.
• We believe that everyone should think ahead, have a financial plan, and invest wisely.
• Our clients are professionals, business owners, individuals, charities, families, and employers, who rely on our clear financial advice and investment management services to preserve and grow their long-term savings and investments.
• We are a team of about 900 people based in 15 offices across the UK.
• Our geographic footprint means we can combine a local approach with face-to-face services to enable strong, long-term relationships with our clients.
• Sustainability is fundamental to our purpose, and we have a responsibility to help address the social, economic, and environmental challenges facing our business, colleagues, and clients.
• We strive to do the right thing and are dedicated to helping the charities that matter most to our people.
• We offer a wide range of inclusive benefits that provide our people with all the support they need to find a healthy balance in all aspects of their lives.
• We also invest in the growth of our people, providing a sense of belonging and team spirit and the ability to thrive.
• We recruit people from all backgrounds and are open to discussing all types of flexible working options.
• We are committed to ensuring our recruitment process is accessible to everyone.

Benefits

• Inclusive benefits that support a healthy work-life balance.
• Investment in the growth of our people.
• Flexible working options to help balance work and home life.
• Commitment to accessibility in the recruitment process.