Our client is a growing wealth management firm who are looking for an experienced Independent Financial Advisor to join the team. The role will involve taking responsibility for the following: Operating to the highest standards within a client centric environment, practicing a standardised process for advising clients and maintaining records of advice. Provide fully holistic independent whole of market advice to customers. Analysis of clients' circumstances and finances to establish suitable solutions for their differing needs. Ensure client outcomes adhere to company Advice Standards and Consumer Duty Policy. Providing clients with comprehensive verbal and documented recommendations in line with the company's best practice. Ensure best practice and client outcomes. Ensure that records are kept appropriately in line with the company's record keeping and file quality requirements. Ensuring that competence to provide advice is maintained and a programme of CPD is undertaken and documented. Key Requirements: RQF level 4 Diploma in Regulated Financial Planning (or equivalent). Previous experience as a Financial Adviser Ideally hold SPS Statement of Professional Standing by FCA accredited body Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted. Clayton Davies is acting as an employment agency on behalf of our client.
May 23, 2026
Full time
Our client is a growing wealth management firm who are looking for an experienced Independent Financial Advisor to join the team. The role will involve taking responsibility for the following: Operating to the highest standards within a client centric environment, practicing a standardised process for advising clients and maintaining records of advice. Provide fully holistic independent whole of market advice to customers. Analysis of clients' circumstances and finances to establish suitable solutions for their differing needs. Ensure client outcomes adhere to company Advice Standards and Consumer Duty Policy. Providing clients with comprehensive verbal and documented recommendations in line with the company's best practice. Ensure best practice and client outcomes. Ensure that records are kept appropriately in line with the company's record keeping and file quality requirements. Ensuring that competence to provide advice is maintained and a programme of CPD is undertaken and documented. Key Requirements: RQF level 4 Diploma in Regulated Financial Planning (or equivalent). Previous experience as a Financial Adviser Ideally hold SPS Statement of Professional Standing by FCA accredited body Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted. Clayton Davies is acting as an employment agency on behalf of our client.
HOME BASED Our client is a leading wealth management firm who are seeking an experienced Level 4 qualified File Reviewer to join their growing compliance and quality assurance team. In this role, you will be responsible for carrying out detailed file checks to ensure all advice provided by their advisers meets FCA standards, internal policies, and industry best practice. Role & Responsibilities: Conduct comprehensive pre- and post-advice file reviews across a range of advice areas, including pensions, investments, protection, and retirement planning. Ensure all advice is suitable, clearly documented, and compliant with FCA rules and the firm's internal processes. Provide clear, constructive feedback to advisers to support continuous improvement. Identify potential risks, trends, and training needs, reporting findings to the Compliance Manager. Assist in developing and refining compliance procedures and guidance documents. Maintain up-to-date knowledge of regulatory changes and industry developments. Do you have the following to apply? Level 4 Diploma in Regulated Financial Planning (DipPFS/Equivalent) - Essential. Previous experience in a file-checking, paraplanning, or compliance role within an IFA or wealth management environment. Strong understanding of financial planning products, suitability requirements, and regulatory expectations. Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted. Clayton Davies is acting as an employment agency on behalf of our client.
May 22, 2026
Full time
HOME BASED Our client is a leading wealth management firm who are seeking an experienced Level 4 qualified File Reviewer to join their growing compliance and quality assurance team. In this role, you will be responsible for carrying out detailed file checks to ensure all advice provided by their advisers meets FCA standards, internal policies, and industry best practice. Role & Responsibilities: Conduct comprehensive pre- and post-advice file reviews across a range of advice areas, including pensions, investments, protection, and retirement planning. Ensure all advice is suitable, clearly documented, and compliant with FCA rules and the firm's internal processes. Provide clear, constructive feedback to advisers to support continuous improvement. Identify potential risks, trends, and training needs, reporting findings to the Compliance Manager. Assist in developing and refining compliance procedures and guidance documents. Maintain up-to-date knowledge of regulatory changes and industry developments. Do you have the following to apply? Level 4 Diploma in Regulated Financial Planning (DipPFS/Equivalent) - Essential. Previous experience in a file-checking, paraplanning, or compliance role within an IFA or wealth management environment. Strong understanding of financial planning products, suitability requirements, and regulatory expectations. Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted. Clayton Davies is acting as an employment agency on behalf of our client.
