Financial Services File Checker
About the Company
Our client is a leading organisation in the wealth management sector, specialising in pensions and investments. With over 15 years of experience, they work with a significant proportion of the UK's financial advisers and have built a reputation for innovation and excellence.
The Role
Our client is seeking a File Checker to join their dynamic compliance team. The successful candidate will review cases submitted by a large network of financial advisers, ensuring files meet regulatory standards and internal policies.
About You
Qualifications:
Minimum Level 4 qualification (e.g., Diploma in Regulated Financial Planning or equivalent).Experience:
Previous experience in a compliance or file-checking role within an FCA-regulated financial services firm is preferred.
Familiarity with client files in areas such as financial advice, pensions, investments, and insurance.Technical Knowledge:
Strong understanding of FCA regulations and advice standards.
Knowledge of financial products, client suitability, and the advice process.Skills:
Exceptional attention to detail and accuracy when reviewing complex documentation.
Ability to identify discrepancies, gaps, and compliance risks.Key Responsibilities
Review client files to ensure compliance with FCA regulations and internal standards.
Assess suitability reports and supporting documentation against policies and procedures.
Identify and escalate potential risks or breaches to the Compliance Manager.
Provide clear feedback to advisers and assist with training to improve file quality.
Respond to compliance queries and offer guidance on best practices.Benefits
Company and team events throughout the year.
Competitive pension contributions (increasing with service).
Free on-site parking.
33 days annual leave including Bank Holidays (increasing with service).
Enhanced maternity, paternity, and adoption leave.
Cashback rewards on online purchases.
Access to a dedicated academy for career development within wealth management