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.

• 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.