Financial Advice Quality Review - Team Leader

• 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 workload management and team leading experience?

... 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

As Team leader you will be responsible for ensuring the Advice Quality Team continue to deliver quality desk-based file checking for clients, members, and prospects, across the full range of financial services products within our agreed service delivery time scales.

While you won't be directly line managing the team, you'll be managing workload, assisting with more complex cases and using your passion and experience to help develop the team across a broad range of financial services products.

Internally, this role will be called AQT - Team Leader.

Key Responsibilities:

Member-Focused Responsibilities:

• Ensure effective resource allocation and timely delivery by monitoring workloads and keeping AQ Managers fully informed of progress and potential challenges.
• Personally carry out a share of file checking duties, supporting the team during high-volume periods.
• Manage and deliver bespoke projects, including due diligence, analysis, and tailored reporting for member and internal needs.
• Analyse and present Management Information for internal stakeholders and external users, ensuring clarity, accuracy, and actionable insights.
• Drive continuous improvement in team efficiency, implementing and communicating change initiatives clearly and effectively.
• Ensure the team consistently exceeds performance, quality, and growth objectives.
• Handle member appeals and queries, offering responsive and professional support via phone and email.
• Actively contribute to the commercial success of the business by promoting Advice Quality services and relevant tools where appropriate.

Internal Collaboration & Operations:

• Work efficiently to meet personal and team targets, supporting broader business objectives.
• Collaborate with the AQ Manager to enhance processes and procedures for increased team productivity.
• Manage your own workload, prioritising effectively within agreed SLAs.
• Support internal departments, including preparing and delivering member presentation content.
• Identify opportunities to add value or collaborate with other business functions.

Management & Team Leadership:

• Maintain accurate tracking and reporting of Management Information in line with agreed timescales.
• Provide leadership to the Advice Quality Team, including stepping in to support the Quality and Development Manager in the absence of the AQ Manager.
• Contribute to the onboarding and development of new team members by helping to shape and deliver induction and training processes.

Knowledge & Compliance

• Stay abreast of all relevant regulatory, industry, and internal policy changes, and support the team in understanding and implementing updates.
• Complete and record annual Continuing Professional Development (CPD) as required.
• Promote a culture of learning by sharing knowledge, identifying gaps in internal guidance, and contributing to updates of materials.
• Ensure all your individual training and CPD activities are completed in line with the team Training & Competence Scheme and accurately logged/ maintained on our internal systems.

Your approach to work

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

• Self-motivation and a positive attitude
• Continuous learning approach
• Confident decision-maker
• Strong organisational and planning abilities
• Excellent analytical and problem-solving skills
• Outstanding interpersonal and communication skills