Pension and Investment Case Reviewer

Job Summary: Pension and Investment Case Reviewer

Reed is recruiting for a respected, independent financial advisory firm in Glasgow. This role is a specialized compliance position designed for a detail-oriented professional who can ensure that financial advice—specifically regarding pensions and investments—is technically sound, regulatory compliant, and in the best interest of the client.

You will act as a key “gatekeeper,” working closely with financial advisers to maintain high standards of integrity and client care within a collaborative, mid-sized team environment.

Key Responsibilities

• File Reviews: Conduct rigorous pre-sale and post-sale checks on client files to ensure advice is suitable and documentation meets FCA standards.

• Adviser Training (T&C): Lead Training & Competence (T&C) 1-2-1 sessions with advisers, providing direct, constructive feedback on their advice files.

• Policy Governance: Monitor internal compliance policies and update them to reflect the latest changes in the FCA Handbook, GDPR, and Anti-Money Laundering (AML) regulations.

• Investigation & Resolution: Identify, investigate, and resolve any compliance breaches or concerns, maintaining detailed records of all remedial actions.

• Management Information (MI): Research and collate data to support regulatory reporting and provide insights into the firm’s compliance health.

• Educational Support: Prepare and deliver training materials to both technical and administrative staff to foster a culture of cross-functional compliance.

Role Details

• Salary: £38,000 – £45,000 per annum.

• Location: Glasgow (Hybrid working model).

• Benefits: 34 days holiday, annual bonus, income protection, critical illness cover, life assurance, and a highly competitive employer pension contribution.

• Progression: Full study support for further professional qualifications and structured mentoring.

Candidate Requirements

Essential:

• Qualifications: Level 4 Diploma (or above) in Financial Planning (e.g., CII or CISI).

• Experience: 1–3 years in a compliance or regulatory role, with a focus on reviewing advice for pensions and investments.

• Regulatory Knowledge: Strong familiarity with the FCA Handbook, AML, and GDPR frameworks.

• Soft Skills: Ability to provide feedback to advisers diplomatically and collaborate effectively across departments.

The Compliance Monitoring Cycle

As a Case Reviewer, your work ensures that the firm remains within the “Safe Harbor” of FCA regulation, preventing “unsuitable advice” from reaching the client.

1. Preparation: Advisers submit their “Suitability Reports” for review.

2. Review: You check for technical accuracy, risk profiling alignment, and disclosure of fees.

3. Feedback: You hold 1-2-1s to address gaps or celebrate good practice.

4. Reporting: Trends from these reviews are collated into MI for the board and regulators.

Why this is a “Career-Building” Role

• Independent Firm Culture: Unlike large “faceless” corporations, this mid-sized firm offers a close-knit environment where your individual impact on compliance standards is visible.

• Full Study Support: If you are looking to reach Level 6 (Chartered status), this firm provides the financial backing and mentoring to get you there.

• High Reward: The 34-day holiday allowance and comprehensive protection benefits (Income Protection/Critical Illness) are significantly above the industry average.

Application Tip: Highlight your “T&C” Success

When applying via Reed, focus on your ability to influence advisers:

1. Constructive Feedback: Provide an example of how you coached an adviser to improve their report writing or risk assessment.

2. Technical Niche: Mention specific experience with complex pension transfers or ESG investment mandates, as these are high-scrutiny areas for the FCA.

3. Efficiency: If you have used compliance software or created spreadsheets to streamline the MI reporting process, make sure to highlight this technical efficiency.

   Reed is a global recruitment pioneer and the world’s largest family-run recruitment business. Founded in 1960 by Sir Alec Reed, the firm has grown from a single office in Hounslow to a multi-billion pound enterprise with a significant presence across the UK, Europe, and Asia. In Glasgow, Reed operates as a critical regional hub, offering specialized recruitment services that span over 20 sectors. The firm is known for its “Love Mondays” philosophy, emphasizing that work should be a source of fulfillment and purpose rather than just a necessity.

   Culture and Philanthropy

   The culture at Reed is defined by its status as a family-owned business, which allows for a long-term, values-driven approach.

   • The Reed Foundation: Uniquely, 18% of the company is owned by the Reed Foundation, meaning that “one day a week, every Reed co-member works for charity.” To date, the foundation has donated over £10 million to various causes.

   • Inclusion and Wellbeing: Reed is a “Mindful Employer” and a “Disability Confident” leader. In 2026, their celebrations for International Women’s Day under the theme “Give To Gain” highlighted their commitment to mentorship and gender equality.

   • Co-member Growth: Employees are referred to as “co-members” and benefit from a robust “Career Development Framework,” which includes access to the historic Reed Business School in the Cotswolds for professional qualifications.

   Key Company Highlights

   Feature	Details
   Specialization	Permanent, temporary, and interim recruitment across 20 sectors
   Glasgow HQ	46 Bath Street, 4th Floor West Tara House, Glasgow, G2 1HG
   Company Size	3,000+ co-members globally
   Market Tools	Home to Reed.co.uk, the UK’s #1 digital recruitment platform
   Social Impact	18% of profits invested in charitable causes via The Reed Foundation

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   Specialist Divisions in Glasgow

   The Glasgow office houses expert consultants across a wide array of professional verticals, including:

   • Accountancy & Finance: Sourcing for both public practice and industry roles, supported by their 2026 Salary Guides.

   • Technology: A major focus on software development, data science, and cybersecurity within Scotland’s tech hubs.

   • Education: Dedicated specialists for further and higher education, providing vetted staff for local colleges and universities.

   • Health & Care: Supporting the NHS and private healthcare providers with nursing and administrative talent.

   • Reed Screening: Providing 24/7 background and employment vetting services to ensure rapid, compliant hiring.

   Strategy & Innovation (2026)

   In 2026, Reed is leading the market in “Recruit, Train, Deploy” models, particularly in the tech sector. This initiative helps organizations bridge the skills gap by finding high-potential individuals, training them in specific digital competencies (such as AI or Microsoft-certified skills), and deploying them directly into business-critical roles. Their 2026 Salary and Benefits Hub remains the industry standard for benchmarking pay across the UK’s regional markets.