Job Description

We are currently looking for a File Review Team Lead to join our Compliance department. The successful candidate must oversee the pipeline of cases and project timelines whilst providing updates required. A deep understand of the FCA regulations is required to successfully complete this role.

Office:

Perspective Financial Group Ltd

Location:

? ?Home Based

Hours:

Monday - Friday 9am to 5pm with a one hour break (35 hours)

Salary:

Competitive dependant on experience and qualifications. Available upon request.

Job Requirements

A minimum of 3 years financial services industry experience, preferably in a business monitoring or technical specialist role. Diploma in Financial Planning or equivalent. A deep understanding of latest FCA expectations, best practice examples & concerns relating to advice suitability. Writing concise correspondence and proofreading for grammar, spelling and punctuation with a high degree of accuracy. Confidence with IT and office software packages including Teams, Outlook, Word and Excel. Management and prioritising workloads. Excellent planning, organisational and multi-tasking abilities. Experienced in managing a team. Analytical thinking and problem-solving skills. Showing initiative, with a proactive approach to tasks. Having an inquisitive nature. Flexibility / adaptability to cope with change. Excellent communication skills at all levels who is courteous in all dealings with internal and external stakeholders. A team player with a positive attitude.

Job Responsibilities

Cohort analysis of target firm's new business history and selection of an appropriate sample size to gain comfort on back book. Working to resolve material information gaps and reaching an assessment of suitability. Highlighting key risks associated with a target firm's advice process & potentially unsuitable cohorts of business within a firm's new business back book. Assisting the due diligence team in understanding target firm's advice & client review processes. Ensuring feedback to advisers is delivered in the correct tone and is presented professionally. Undertaking quality assurance of the file checking team and providing positive, constructive feedback and coaching to file reviewers. Being a key intermediary between the Business Monitoring team and the Acquisitions team. Drafting technical guidance to assist reviewers reaching a determination of suitability & also to assess the materiality of information gaps. To manage the workload, allocation of cases to file checkers & providing progress updates to due diligence leads. Oversight of pipeline cases and project timelines. Liaising with advisers and owners of target acquisition firms to understand advice processes, documentation standards and to assist with the building of case files. Using case file evidence to produce reports documenting both the results of file checking and a target firm's advice processes for new business and ongoing servicing.
Due to the nature of the business, the role may also include additional responsibilities considered reasonable.

Job Benefits

25 days holiday (rising with length of service) plus Bank Holidays, Holiday Purchase Scheme and Birthday leave. E-Discounts, Electric Car Scheme, Life Assurance, Pension and Corporate Eyecare.

Job Types: Full-time, Permanent

Benefits:

Company pension Cycle to work scheme Employee discount Health & wellbeing programme Paid volunteer time Work from home
Schedule:

Day shift Monday to Friday No weekends
Work Location: Remote

Reference ID: File Review Team Lead