TrinityBridge
501 - 1000 employees
💸 Finance
🤝 B2B
Finance • B2B
TrinityBridge is an investment funds/asset management firm whose website and materials are directed at institutional investors, FCA-authorised intermediaries, and connected persons rather than retail clients. The site contains fund information, application-related functionality, and legal/compliance disclaimers noting the information is for informational purposes only and not investment advice or an offer to sell securities. The website also describes its use of cookies and third-party tracking for site functionality, analytics, and marketing.
File Reviewer
Job not on LinkedIn
🔥 0 minutes ago
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TrinityBridge
501 - 1000 employees
💸 Finance
🤝 B2B
Finance • B2B
TrinityBridge is an investment funds/asset management firm whose website and materials are directed at institutional investors, FCA-authorised intermediaries, and connected persons rather than retail clients. The site contains fund information, application-related functionality, and legal/compliance disclaimers noting the information is for informational purposes only and not investment advice or an offer to sell securities. The website also describes its use of cookies and third-party tracking for site functionality, analytics, and marketing.
📋 Description
• Driving 1st line quality assurance across Wealth Planning service advice delivery. Primarily includes, undertaking of 1st line file reviews as defined in the Wealth Planning operational risk framework, Trust Registration Service checks Assess files against the firms advice standards, internal procedures and regulatory requirements, ensure documentation is complete, and accurately recorded on internal systems. • Where required, thematic reviews of suitability, maintain a record of review outcomes, escalate 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, and internal licence requirements. • Record review outcomes , risk ratings, and remediation actions, track responses and completion times, and maintain robust audit trails and management information to support oversight of advice quality. Contribute to periodic reporting on advice standards and quality. • Assist in maintaining and updating file review checklist, suitability standards and internal giuidance • Responsible for maintaining and updating the Financial Planning Guide to Suitability
🎯 Requirements
• 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 construcitve feedback to explain key points identified in a clear practical manner • Confidence to escalate concerns where advice may not meet regulatory or internal standards
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