Job Description: 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.
Sep 01, 2025
Full time
Job Description: 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.
Job Description: 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.
Sep 01, 2025
Full time
Job Description: 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.
Flexible locations UK wide Our client is a leading national (IFA) firm, dedicated to providing high-quality, client-focused financial advice across the UK. As they continue to grow, they are looking for a highly skilled and experienced Head of Complaints on a 12 month FTC to lead their complaint's function and ensure they maintain the highest standards of regulatory compliance and customer service. As Head of Complaints, you will take overall responsibility for the effective management, oversight, and resolution of complaints across the firm. You will ensure that all complaints are handled fairly, promptly, and in line with FCA rules and industry best practice. You will also play a key role in identifying root causes, driving continuous improvements, and ensuring the voice of the client is central to our business operations. Role & Responsibilities: Lead the complaints team, providing direction, support, and development opportunities. Oversee the end-to-end complaints handling process, ensuring compliance with FCA DISP rules and internal policies. Act as the firm's subject matter expert for complaints handling, providing guidance to senior management and advisers. Monitor trends and root causes, reporting to the Board and driving process improvements. Liaise with the Financial Ombudsman Service (FOS) and other external bodies where required. Ensure complaint MI is accurate, timely, and insightful to inform strategic decisions. Foster a culture of fairness, accountability, and continuous improvement. Do you have the following to apply? Extensive experience in complaints handling within an IFA, wealth management, or investments environment. Strong knowledge of FCA regulatory requirements, particularly DISP rules. Proven track record of managing a complaints team and influencing at senior management level. 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.
Sep 01, 2025
Full time
Flexible locations UK wide Our client is a leading national (IFA) firm, dedicated to providing high-quality, client-focused financial advice across the UK. As they continue to grow, they are looking for a highly skilled and experienced Head of Complaints on a 12 month FTC to lead their complaint's function and ensure they maintain the highest standards of regulatory compliance and customer service. As Head of Complaints, you will take overall responsibility for the effective management, oversight, and resolution of complaints across the firm. You will ensure that all complaints are handled fairly, promptly, and in line with FCA rules and industry best practice. You will also play a key role in identifying root causes, driving continuous improvements, and ensuring the voice of the client is central to our business operations. Role & Responsibilities: Lead the complaints team, providing direction, support, and development opportunities. Oversee the end-to-end complaints handling process, ensuring compliance with FCA DISP rules and internal policies. Act as the firm's subject matter expert for complaints handling, providing guidance to senior management and advisers. Monitor trends and root causes, reporting to the Board and driving process improvements. Liaise with the Financial Ombudsman Service (FOS) and other external bodies where required. Ensure complaint MI is accurate, timely, and insightful to inform strategic decisions. Foster a culture of fairness, accountability, and continuous improvement. Do you have the following to apply? Extensive experience in complaints handling within an IFA, wealth management, or investments environment. Strong knowledge of FCA regulatory requirements, particularly DISP rules. Proven track record of managing a complaints team and influencing at senior management level. 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.
Flexible locations UK wide Our client is a leading national (IFA) firm, dedicated to providing high-quality, client-focused financial advice across the UK. As they continue to grow, they are looking for a highly skilled and experienced Head of Complaints on a 12 month FTC to lead their complaint's function and ensure they maintain the highest standards of regulatory compliance and customer service. As Head of Complaints, you will take overall responsibility for the effective management, oversight, and resolution of complaints across the firm. You will ensure that all complaints are handled fairly, promptly, and in line with FCA rules and industry best practice. You will also play a key role in identifying root causes, driving continuous improvements, and ensuring the voice of the client is central to our business operations. Role & Responsibilities: Lead the complaints team, providing direction, support, and development opportunities. Oversee the end-to-end complaints handling process, ensuring compliance with FCA DISP rules and internal policies. Act as the firm's subject matter expert for complaints handling, providing guidance to senior management and advisers. Monitor trends and root causes, reporting to the Board and driving process improvements. Liaise with the Financial Ombudsman Service (FOS) and other external bodies where required. Ensure complaint MI is accurate, timely, and insightful to inform strategic decisions. Foster a culture of fairness, accountability, and continuous improvement. Do you have the following to apply? Extensive experience in complaints handling within an IFA, wealth management, or investments environment. Strong knowledge of FCA regulatory requirements, particularly DISP rules. Proven track record of managing a complaints team and influencing at senior management level. 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.
Sep 01, 2025
Full time
Flexible locations UK wide Our client is a leading national (IFA) firm, dedicated to providing high-quality, client-focused financial advice across the UK. As they continue to grow, they are looking for a highly skilled and experienced Head of Complaints on a 12 month FTC to lead their complaint's function and ensure they maintain the highest standards of regulatory compliance and customer service. As Head of Complaints, you will take overall responsibility for the effective management, oversight, and resolution of complaints across the firm. You will ensure that all complaints are handled fairly, promptly, and in line with FCA rules and industry best practice. You will also play a key role in identifying root causes, driving continuous improvements, and ensuring the voice of the client is central to our business operations. Role & Responsibilities: Lead the complaints team, providing direction, support, and development opportunities. Oversee the end-to-end complaints handling process, ensuring compliance with FCA DISP rules and internal policies. Act as the firm's subject matter expert for complaints handling, providing guidance to senior management and advisers. Monitor trends and root causes, reporting to the Board and driving process improvements. Liaise with the Financial Ombudsman Service (FOS) and other external bodies where required. Ensure complaint MI is accurate, timely, and insightful to inform strategic decisions. Foster a culture of fairness, accountability, and continuous improvement. Do you have the following to apply? Extensive experience in complaints handling within an IFA, wealth management, or investments environment. Strong knowledge of FCA regulatory requirements, particularly DISP rules. Proven track record of managing a complaints team and influencing at senior management level. 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.