File Review Team Leader

Description:

Clayton Davies is recruiting on behalf of a well-established Independent Financial Adviser (IFA) firm for the position of File Review Team Leader. This is a remote-based, full-time opportunity within a professional and client-focused financial advisory business with a strong UK-wide reputation for integrity and personalized service.

The File Review Team Leader will play a vital role within the compliance function, ensuring that all financial advice provided by advisers aligns with FCA regulations and the firm’s internal standards. The role also entails team leadership, quality control, process improvement, and direct feedback to advisers to foster a culture of continuous improvement and regulatory excellence.

Key Responsibilities:

• Lead, mentor, and support a team of file reviewers, ensuring quality assurance and compliance consistency.

• Conduct thorough file reviews covering financial planning areas including pensions, investments, and protection.

• Identify patterns in adviser recommendations, escalate regulatory risks, and maintain compliance standards.

• Offer structured feedback to advisers to enhance compliance and advice quality.

• Work closely with the Compliance Manager to refine and improve review procedures.

• Prepare management information (MI) and reports to monitor team performance and pinpoint development areas.

• Remain informed of regulatory updates, contributing to internal policy refinement.

Requirements to Apply:

• DipPFS or equivalent diploma-level qualification is a minimum requirement.

• Demonstrated experience in file review roles within an IFA or financial planning setting.

• Strong understanding of FCA regulations and financial product compliance.