Job Description:
Our client, a leading UK wealth management and investment firm, is looking for a File Checker with the Level 4 Diploma to join their compliance team. In this role, you will play a key part in ensuring that client files meet the highest standards of quality, suitability and compliance with FCA regulations. You will review advice cases submitted by financial advisers, identify areas for improvement, and provide constructive feedback to help drive best practice.
This is a great opportunity to be part of a forward-thinking financial services organisation that is currently going through an exciting period of growth.
Skills/Experience:
A minimum Level 4 qualification (e.g., Diploma in Regulated Financial Planning or equivalent).
Previous experience in a compliance or file-checking role within an FCA-regulated firm.
Knowledge of pensions, investments, insurance, and financial advice processes.
Strong understanding of FCA regulations and advice suitability standards.
Exceptional attention to detail, with the ability to identify risks, discrepancies, and areas of concern in complex client files.
Excellent communication skills, with the ability to provide clear and constructive feedback.
Core Responsibilities:
Conduct thorough reviews of client files to ensure compliance with FCA regulations and internal standards.
Evaluate suitability assessments, reports, and supporting documentation.
Identify and escalate compliance risks or breaches appropriately.
Provide regular feedback to advisers and contribute to improving advice quality across the business.
Support adviser training and development by explaining errors and recommending corrective actions.
Collaborate with compliance colleagues to share insights and highlight emerging trends.
Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.
Job reference: 16246
To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.
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Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.
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