Compliance File Checker - Wealth Management
Location: London Fully Remote
Salary: £40,000 - £45,000 + Excellent Benefits
Are you a technically strong Paraplanner, Report Writer, or File Checker looking for a role where your expertise genuinely makes a difference?
This is an opportunity to join a highly respected, fully independent Chartered IFA firm whose reputation has been built on delivering exceptional financial advice and outstanding client outcomes. With continued growth and a strong presence in the industry, they are now looking to strengthen their compliance team with a detail-driven professional who takes pride in maintaining the highest advice standards - all from the flexibility of a fully remote role.
If you enjoy working with technical detail, ensuring advice quality, and influencing best practice, this could be the perfect next step in your career.
The Opportunity
You'll play a vital role in protecting and enhancing the quality of advice delivered across the business. Working closely with advisers and the wider compliance team, your responsibilities will include:
* Reviewing adviser files across pensions and investment business
* Ensuring suitability reports meet FCA requirements and internal compliance standards
* Identifying gaps or inconsistencies and providing clear, constructive feedback
* Supporting ongoing monitoring and quality assurance across the firm
* Ensuring any remedial work is completed thoroughly and to the highest standard
Your work will directly support the firm's commitment to maintaining exceptional advice standards and regulatory excellence.
What We're Looking For
* At least 12 months' file checking experience, or a strong background in paraplanning/report writing
* Level 4 Diploma in Financial Planning (essential)
* Strong technical knowledge of pensions, investments, and wider financial planning
* Confident communicator able to provide clear and constructive feedback
* Highly analytical, detail-oriented, and self-motivated
Why This Role?
* Fully remote working
* Join a Chartered firm with a strong reputation for quality advice
* Be part of a supportive and knowledgeable compliance team
* Work in a role where your technical expertise is valued and respected
* Excellent salary and benefits package
If you're looking to move into a role where technical excellence, independence, and high advice standards are truly valued.
For a confidential discussion, please contact Sam at Financial Divisions.
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