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- Tasks: Lead a team ensuring financial advice meets regulatory standards and provide constructive feedback.
- Company: Join a reputable Independent Financial Adviser firm known for professionalism and client focus.
- Benefits: Enjoy a competitive salary and the flexibility of remote work.
- Why this job: Be part of a culture of continuous improvement and make a real impact in financial advisory.
- Qualifications: Must have proven file review experience and relevant qualifications like DipPFS.
- Other info: Due to high application volumes, only shortlisted candidates will be contacted.
The predicted salary is between 43200 - 72000 £ per year.
Our client is a 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 their 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.
File Review Team Leader employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land File Review Team Leader
✨Tip Number 1
Familiarise yourself with the latest FCA guidelines and compliance standards relevant to file reviews. This knowledge will not only help you in interviews but also demonstrate your commitment to maintaining high-quality advice.
✨Tip Number 2
Network with professionals in the financial advisory sector, especially those who have experience in file review roles. Engaging with industry peers can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've improved compliance and quality in previous roles. Highlighting your leadership skills and ability to mentor others will be crucial for this position.
✨Tip Number 4
Stay updated on current trends in financial planning and file review processes. Being knowledgeable about recent developments will show your proactive approach and readiness to contribute to the team.
We think you need these skills to ace File Review Team Leader
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in file review and any relevant qualifications, such as your Diploma (DipPFS or equivalent). Use specific examples to demonstrate your expertise in financial planning.
Craft a Compelling Cover Letter: Write a cover letter that showcases your leadership skills and experience in managing teams. Mention how you can contribute to the compliance function and uphold quality standards within the firm.
Highlight Relevant Experience: In your application, emphasise your proven experience in file review within an IFA or financial planning environment. Discuss specific projects or achievements that illustrate your ability to monitor quality and provide constructive feedback.
Showcase Continuous Improvement Mindset: Demonstrate your commitment to continuous improvement by mentioning any initiatives you've led or participated in that enhanced processes or compliance within your previous roles. This will align with the company's focus on quality and regulatory adherence.
How to prepare for a job interview at Clayton Davies
✨Showcase Your Leadership Skills
As a File Review Team Leader, you'll be managing a team. Be prepared to discuss your leadership style and provide examples of how you've successfully led teams in the past. Highlight any training or mentoring experiences that demonstrate your ability to support and develop others.
✨Demonstrate Your Technical Knowledge
Make sure you are well-versed in the regulatory standards and compliance requirements relevant to financial advice. Brush up on your knowledge of FCA guidelines and be ready to discuss how you would ensure adherence to these standards within your team.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills and ability to handle challenging situations. Prepare scenarios where you had to provide constructive feedback or manage a compliance issue, and explain how you approached these situations effectively.
✨Emphasise Continuous Improvement
The role involves embedding a culture of continuous improvement. Be ready to discuss how you have previously identified areas for development within a team or process and the steps you took to implement changes that enhanced quality and compliance.
