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Advice and File Review Manager

Job description

About Our Client
A nationally acclaimed leading Financial Services business who provide services in Financial Planning and Wealth Management.

About the role
This Advice & File Review Manager appointment will support the business ensuring advice areas and cases meet their T&C standards.

Advice & File Review Manager - Key responsibilities will include;

  • Conducting advice quality audits both on a pre-submission and post-submission basis, in line with the firm's T&C Scheme
  • Delivery of informative and constructive feedback to IFA's following advice quality assessment
  • Dealing with day-to-day advice and regulatory queries from other departments, undertaking research, where necessary, in order to provide informed responses
  • Providing new business concessions, where necessary ensuring accurate and timely recording
  • Assistance with past-business auditing in relation to FCA Thematic Reviews, as directed by Risk and T&C
  • Supporting Risk and T&C in the periodic assessment of an adviser's eligibility for CAS

Advice & File Review Manager - Skills and experience required

  • Experience operating in a similar role within a FCA regulated environment
  • Diploma in Financial Planning as a minimum qualification requirement
  • Willingness to take further qualifications, as relevant to your role
  • Demonstration of knowledge and experience in personal financial planning
  • Good communications skills, with the ability to provide constructive feedback
  • A high standard of written and numerical skills

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Our Diversity, Equity and Inclusion Mission

At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.