Senior File Review

Job Description

Some firms keep doing things the same way because... thats how theyve always done it. They dont improve because they dont even see the need to change.Thats not this firm.Having assessed where theyre at as a business they saw that whilst they were good, they could be better. Much better. And the MD of the business has given the compliance function the remit to make big changes.Those ongoing improvements are contributing to better outcomes for clients. But theyre also helping the culture of the business and peoples enjoyment of working there.They now need someone to join their file review team. The job is what youd expect with a current focus on pre-sale checks. But as part of wider improvements they have introduced a more robust post-sale check process so youll be a key part of that too.The compliance function has grown in the past 12 months and will continue to do so. The firm arent just adding to this team but also to their T&C team. And as the team/business grows so might your responsibilities. Youll already inherit a more juniormember on the team to mentor and its likely that the hiring wont stop with you.The firms IFAs are in the main experienced planners so its more fine tuning than complete overhauls. But they do also have a small centralised team of less experienced planners, so your work will be varied.Youll report into the new Head of Compliance. That person is an empowering boss who has brought significant improvements to the business already, but aims for more. Your voice and ideas will be an important part of that.The IFAs are throughout the UK so this is a remote, home based position. The vast majority of 1-1s are undertaken via Teams so youll spend your time meeting with planners, not sat in traffic. Travel expenses are in place for those rare occasions you need tomeet someone.But whilst youll be remote you wont feel it, right down to the weekly team online get-together.Salary is to c£45,000 (there is some flexibility but it will be dependent on the individual). Theres an annual profit share (payable in January) and a benefits scheme that includes support with exams, life cover and a 5% pension contribution. And thecontracted hours are 35.25 per week.There will be a two stage interview process, both via Teams. Between stage one and two there will be a technical test but there is no pass/fail mark. That said given youll be guiding planners you will need to have a high level of technical/process knowledge.Once offered the firm have a thorough onboarding process including a two day on-site induction.HERES WHAT YOULL NEED:Youll be at least level 4 qualified and have file review experience (preferably in the IFA market).You will be able to build positive working relationships with your IFAs and have the personality/skills to make you credible in their eyes.As the senior person on the team youll mentor/guide a junior member of the team. So any experience in this area is helpful too.-----------------------------------------------------------------------------------------Ready to join a firm that does things a bit differently Click apply.If you dont have a CV send us contact details and we will be in touch to answer your questions.Everyone will get a response.