• Are you qualified to Level 4 diploma in financial services?
• Do you have strong technical knowledge of a broad variety of UK retail financial advice products?
• Do you have relevant experience as a file reviewer or compliance specialist for financial advice?

... then look no further!

SimplyBiz provides compliance, business, and regulatory support services to financial advisers, mortgage brokers, and other professionals in the UK financial services sector. 

We are known for offering a comprehensive range of compliance solutions, including file checking, regulatory updates, training, and technology platforms designed to help advisory firms meet Financial Conduct Authority (FCA) requirements efficiently.

ROLE OVERVIEW

Using your experience of retail financial advice products, complete file reviews across a broad range of financial advice products to ensure that client files and the advice provided by advisors meet all applicable regulatory standards, internal standards and quality benchmarks.

The great news is that we have a brilliant, custom-made file review system so you don't need to get bogged down in admin and paperwork - everything is electronic, with a clear work management system allowing you to focus on what you do best - reviewing files and articulating feedback.

KEY RESPONSIBILITIES

Clients
• Carry out desk-based file checking for members and clients across the full range of financial services products (excluding DB transfer advice).
• Work effectively as a team with other Advice Quality Consultants to ensure the pipeline is managed and cases returned to members and clients within deadline.
• Deal with member and clients’ telephone and email queries and provide support to the firms.
• Liaise with Pensions Technical and Technical departments where necessary to ensure accuracy of technical information provided to members and clients.

Internal
• Manage own workload and prioritise cases within the agreed SLA.
• Work efficiently to achieve individual and team targets.
• Ensure quality assurance standards are maintained by proactively liaising with colleagues and incorporating feedback from the AQT Management Team.
• Assist the administration team and be the first point of escalation for any member issues.
• Work with staff at all levels, including internal and external Directors and Senior Management.
• Undertake ad hoc duties as delegated by the Advice Quality Manager to assist the smooth operation of the team.

YOUR APPROACH TO WORK

We’re looking for someone who brings not only the right experience and technical skills but also the right mindset. The ideal candidate will demonstrate:

• Self-motivation and a positive attitude
• Curious with a desire to continue learning and developing
• Strong organisational and planning skills
• Analytical
• Comfortable and keen to contribute to team discussions - suggest improvements, efficiencies, share learnings
• Ability to work under pressure and to deliver on time
• Attention to detail and produce work to high standard

ESSENTIAL REQUIREMENTS

1. Excellent knowledge of FCA expectations to assess and complete a compliant and suitable file.
2. Up-to-date with all regulatory and industry changes and ensure own knowledge is enhanced and maintained through relevant continued professional development.
3. Outstanding interpersonal and communication skills with strong written skills to articulate feedback to clients in a professional and helpful manner.

EXPERIENCE & QUALIFICATIONS

Essential

• Minimum level 4 diploma level in Financial Services.
• Able to demonstrate technical knowledge across a broad range of UK financial advice products combined with strong understanding of compliance requirements.
• Excellent customer service skills.
• Excellent communication skills.

Desirable

• Mortgage, equity release and long term care qualifications desirable - keen to progress with exams is desirable and supported financially

• Previous experience in compliance / file reviewing / advice quality is desirable.

• Previous experience working in Provider and/or Financial Services intermediary business preferable.

ROLE LOCATION

This is a remote-first opportunity although if you live close to our Huddersfield or other Fintel group offices (such as Haddenham) you are more than welcome to base yourself from there.

RIGHT TO WORK

You will need to hold the long-term right to work in the UK without sponsorship.

Fintel plc and all the businesses within it adopt a zero-tolerance approach to discrimination on any of the protected grounds in the Equality Act 2010.

We are committed to providing equal opportunities to all current and prospective employees regardless of age, disability, sex, sexual orientation, pregnancy and maternity, race or ethnicity, religion or belief, gender identity, or marriage and civil partnership.

We aspire to have a diverse workforce because, in our view, diversity enables better business outcomes. We also believe that a more inclusive workplace, where people of different backgrounds work together, ensures better outcomes for all staff. From application to interview, we place inclusion at the heart of all we do.

For these reasons we strongly encourage suitably qualified applicants from a wide range of backgrounds.