File Reviewer - Hoxton Capital Management : Job Details

Company Overview:Hoxton Wealth is a global financial services firm with offices in key locations including the United Kingdom, Dubai, Cyprus, South Africa, the United States, and Australia. Leveraging a tech-led and tax-efficient approach, Hoxton Wealth specializes in comprehensive wealth management services tailored to clients' needs. With around £2 billion in assets under management (AUM), the firm focuses on delivering personalized financial planning, investment strategies, and cross-border solutions. This international presence underpins our commitment to offering innovative, client-centered advisory services, while maintaining rigorous compliance with regulatory standards.

Role Overview:The File Reviewer will be responsible for ensuring the quality, accuracy, and compliance of client files under the Financial Conduct Authority (FCA) regulatory framework in the UK. This role is critical in safeguarding the integrity of our advisory services while supporting the firm's broader global objectives.

Key Responsibilities:

• Conduct thorough reviews of client files to ensure adherence to FCA regulatory requirements and internal policies.
• Verify that all documentation, disclosures, and financial advice comply with the FCA rules, with particular focus on suitability, transparency, and client protection.
• Evaluate the appropriateness of investment recommendations, risk assessments, and financial planning strategies in line with UK regulatory standards.
• Identify and escalate deficiencies or potential compliance risks, ensuring timely resolution in collaboration with relevant teams.
• Maintain detailed and confidential records of review findings and provide actionable recommendations to improve compliance and advisory processes.
• Work closely with compliance, legal, and advisory teams to address UK-specific regulatory concerns and implement corrective actions where necessary.
• Provide constructive feedback and training to advisors and support staff to enhance understanding of FCA regulations and compliance best practices.
• Stay up-to-date on changes to FCA regulations, industry standards, and internal policies, integrating these into the file review process.
• Assist in refining file review methodologies, tools, and templates to improve efficiency and effectiveness while maintaining regulatory compliance.
• Support ad-hoc projects, regulatory examinations, and firm-wide compliance initiatives as needed.

Qualifications and Requirements:

• Professional certifications (e.g., CISI, CFA, CFP) are advantageous.
• Minimum of 3-5 years of experience in a compliance or file review role within the financial services sector, ideally in wealth management or financial advisory.
• Strong analytical skills with a keen attention to detail, capable of identifying compliance issues in complex financial documents.
• Excellent communication skills and the ability to deliver constructive feedback and collaborate across teams.
• Self-motivated with the ability to manage workload effectively in a fast-paced, deadline-driven environment.
• Proficient in Microsoft Office and familiarity with document management systems and compliance software.
• Demonstrated commitment to professional ethics, integrity, and confidentiality.
• Legal right to work in the UK without sponsorship.

Note:Hoxton Wealth is an equal opportunity employer and welcomes applications from qualified individuals regardless of race, gender, age, disability, sexual orientation, religion, or nationality. All applications will be handled with strict confidentiality.

Join Hoxton Wealth to contribute to a dynamic team dedicated to maintaining the highest standards of compliance and client service excellence.