⭐️ File Review Team Leader
📍 Remote Based
💰 Competitive Salary
Our client is well-established, client-focused Independent Financial Adviser (IFA) firm committed to delivering high-quality, tailored financial advice. With a strong reputation for professionalism and integrity, they work with clients across the UK to help them achieve their financial goals. Due to continued growth, they are seeking an experienced File Review Team Leader to join their compliance function and help drive excellence across our advisory operations.
As File Review Team Leader, you will be responsible for leading the file review team to ensure advice provided by their advisers meets all regulatory and internal standards. You’ll play a key role in upholding quality, providing guidance, and embedding a culture of continuous improvement across the business.
Role & Responsibilities: 📋
* Manage and support a team of file reviewers, providing training, mentoring and oversight
* Conduct detailed file reviews of advice across a range of financial planning areas (investments, pensions, protection, etc.)
* Monitor the quality of adviser recommendations, identifying trends, and escalating risks where necessary
* Provide clear, constructive feedback to advisers to improve quality and compliance
* Collaborate with the Compliance Manager to enhance review processes and ensure adherence to FCA guidelines
* Produce reports and MI to track team performance and identify areas for development
* Stay up to date with regulatory changes and contribute to policy and procedure updates accordingly
Do you have the following to apply? ✅
* Proven experience in file review within an IFA or financial planning environment
* Diploma qualified (DipPFS or equivalent) as a minimum
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.