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Business Monitoring (M&A) Team Leader

Perspective Financial Group Ltd

Business Monitoring (M&A) Team Leader

Salary Not Specified

Perspective Financial Group Ltd, Coppull, Lancashire

  • Full time
  • Permanent
  • Remote working

Job posting date not available, 13 Jul

Closing date: Closing date not specified

job Ref: 0264ed6c843f4753bd128dd704fb022e

Full Job Description

  • Managing the workload, allocation of cases to file checkers & providing progress updates to due diligence leads.

  • Oversight of pipeline cases and project timelines.

  • Being a key intermediary between the Business Monitoring team and the Acquisitions team.

  • Drafting technical guidance to assist reviewers reaching a determination of suitability & also to assess the materiality of information gaps.

  • Ensuring feedback to advisers is delivered in the correct tone and is presented professionally.

  • Working to resolve material information gaps and reaching an assessment of suitability.

  • Liaising with advisers and owners of target acquisition firms to understand advice processes, documentation standards and to assist with the building of case files.

  • Using case file evidence to produce reports documenting both the results of file checking and a target firm's advice processes for new business and ongoing servicing.

  • Assisting the due diligence team in understanding target firm's advice & client review processes.

  • Highlighting key risks associated with a target firm's advice process & potentially unsuitable cohorts of business within a firm's new business back book.

  • Cohort analysis of target firm's new business history and selection of an appropriate sample size to gain comfort on back book.

  • Undertaking quality assurance of the file checking team and providing positive, constructive feedback and coaching to file reviewers.


    • Due to the nature of the business, the role may also include additional responsibilities considered reasonable.

    Candidates will be experienced working in a file review oversight role. You should be motivated, friendly and professional at all times and be able to hold conversations with third parties, representing the company in a professional manner.,
  • A minimum of 3 years financial services industry experience, preferably in a business monitoring or technical specialist role.

  • Diploma in Financial Planning or equivalent.

  • A deep understanding of latest FCA expectations, best practice examples & concerns relating to advice suitability.

  • Writing concise correspondence and proofreading for grammar, spelling and punctuation with a high degree of accuracy.

  • Confidence with IT and office software packages including Teams, Outlook, Word and Excel.

  • Management and prioritising workloads.

  • Excellent planning, organisational and multi-tasking abilities.

  • Experienced in managing a team.

  • Analytical thinking and problem-solving skills.

  • Showing initiative, with a proactive approach to tasks.

  • Having an inquisitive nature.

  • Flexibility / adaptability to cope with change.

  • Excellent communication skills at all levels who is courteous in all dealings with internal and external stakeholders.

  • A team player with a positive attitude.

    We are proud to be the UK's best client-centric financial planning firm for both our clients and our staff. Founded in 2008 and with over 35 local offices nationwide, we employ 450 people including more than 160 highly qualified financial planners and paraplanners.


    • We regard financial planning as a profession, providing specialist expertise to individuals, families, companies and trustees. A significant number of our client relationships endure for more than 25 years and span four generations of a family.

    The qualities we look for in people who wish to join us include sharing our client-centric approach, having the focus and drive required to produce excellent results, and having a passion for learning and development.

    Our Purpose, Vision and Values are at the core of what we do.

    Our Purpose: We provide expert, specialised financial planning and wealth management advice that enables our clients to make full and effective use of their financial resources, so they can plan for and achieve the future they desire.

    Our Vision: To build a sustainable and socially responsible business that is trusted by our employees and clients, never detracting from our core value that our clients come first in everything we do.

    Our Six Values: Our clients are at the heart of everything we do. Our six core values guide what we do every day:
  • We are client-centric

  • We will do the right thing

  • We always deliver

  • We become a trusted member of the family

  • We continually set standards of excellence

  • We believe in teamwork


    • Perspective is dedicated to encouraging a supportive and inclusive culture amongst our whole workforce.

    Salary: Competitive dependant on experience and qualifications

    Benefits: 25 days holiday (rising with length of service) plus Bank Holidays, Birthday Leave, Holiday Purchase Scheme, Life Assurance, Pension, Corporate Eyecare and Extras Discount shopping discounts.

    Role Overview:

    Are you looking to develop your team leader skills by stepping up into a business monitoring leadership role in a Market Leading Wealth Management company with an established file review team?

    If the answer is yes, we have a fantastic vacancy for a Business Monitoring (M&A) Team Lead to join our busy Acquisitions Team

    This role forms a key part of the team, and you will perform a critical role in the delivery of due diligence on target acquisitions of financial advice firms.