About the role Sitting within the compliance department, the role of the file reviewer is to help our firms ensure the work undertaken by their advisers is solid advice and the files are compliantly compiled.
If you know anything about The Verve Group, you'll know that we don't just approach things in a standard way and so our file reviews are enhanced compared to the usual approach as we seek to: Provide firms with a full review, including all of the areas they have done well and should be continuing to do, as well as highlighting any gaps or issues Work with them to refine processes where gaps have been found, to minimise the risk of future file review problems Give them clear, no-nonsense, direct feedback, providing them with clarity and certainty around the expectations from the FCA and FOS Provide support and training where needed to help firms bring their standards to the required level.
We know from feedback that are review approach is incomparable in the financial services market; no box-ticking and unnecessary problem finding here.
Just pragmatic, pro-active feedback and support.
We encourage our firms to truly understand the compliance requirements for their files (hint, it's not an 80-page suitability report!)
and the role of the file review is key to ensuring that the regulatory requirements are covered in the correct way and that poor outcomes are avoided for clients.
The role includes: Conducting file reviews across a multitude of business areas (pensions, investments, mortgages, protection).
Providing clear, consistent and helpful feedback to advisers.
Working with other Verve departments to ensure issues identified in a firm's advice process are fixed at the source, to minimise future problems.
Ensuring that the file-checking process remains in line with regulatory rules and guidance, and taking a pragmatic approach to compliance.
Working with the wider team to provide updates, training and knowledge sharing with our clients and the wider financial industry.
About you For this particular role, we're keen for the individual to hit the ground running and so we are looking for someone with existing experience.
Therefore, we request applicants have: Experience in conducting file reviews within the full financial planning space.
Ideally a level 4 financial services qualification (if you do not hold the full qualification, but have extensive experience, please get in touch).
A willingness to continue learning and an openness to ongoing innovation and improving systems and outputs.
Additional desirable attributes are: Further qualifications (e.g.
in defined benefits, equity release, long term care).
Demonstrable experience in providing clear value to financial advice firms.
Above all, we love someone with a positive attitude who likes a challenge and isn't afraid to roll their sleeves up and get stuck in with the team.
About us The Verve Group offers a range of services to financial planners and ultimately works towards two key aims; to help support good quality financial advice firms to grow and develop, and to attract new people into financial services and help train them up, for the benefit of the future of the profession.
Across all departments, we approach financial services with a innovative and positive outlook; our focus is on relentlessly improving and never settling for just doing what has always been done.
We're passionate that more people can and should benefit from advice, and it's our mission to make it more accessible for them.
We offer a range of benefits to permanent employees to ensure our team feels supported and motivated.
We value loyalty and offer enhanced benefits to reward employees who choose to grow their career with us, but as standard these include… Standard benefits (Based on a full-time position) 21 days basic holiday allowance (increasing 1 day per year for each year's service, to a max of 26 days); plus bank holidays; plus Christmas close-down and your birthday off if it falls on a weekday.
Personal development budget (for exams, training, anything to help you excel!)
Personalised salary structure to reflect your own effort and contribution Hybrid or fully remote options available, depending on location and experience.
Access to lifestyle benefits such as meditation app, high street discount & rewards app and financial wellbeing platform.
Death in service cover Upon completion of a qualifying period, we offer an EMI share scheme, allowing to benefit both from declared dividends and long term performance returns.
At the same time, you will become eligible for our enhanced parental leave benefits.
Verve benefits Two official annual company parties, plus ad hoc team nights out and monthly enrichment sessions.
Being part of a company with a higher purpose and strong values.
We've never been a fan of a dress code.
Dress appropriately for a workplace environment, but have the flexibility for that to be whatever you feel comfortable in.
Extensive health and wellbeing programme and initiatives, including desk massages, team hikes and yoga / fitness sessions.
Office snacks and refreshments Open plan 'living office' environment – including rocking (or sometimes dubious) playlists, beer/wine fridge, breakout lounge, breakfast club, ping pong table.
Office dogs welcome!