Job description
Idex Consulting are working with an IFA Practice to recruit an experienced Compliance File Checker in Edinburgh.
Key Responsibilities:
1. Conduct comprehensive reviews of pre-sale advice cases and post-sale annual review files (with some annual reviews completed pre-sale where required).
2. Assess files against FCA requirements, internal compliance procedures, and best-practice guidance.
3. Identify and record areas of strength, risks, and improvements, providing clear, constructive feedback to paraplanners and advisers.
4. Ensure suitability reports, client documentation, and supporting evidence meet required standards.
5. Maintain accurate internal logs of all checks, findings, and actions.
6. Keep up to date with regulatory, product, and policy changes that impact advice quality.
7. Support the compliance function by assisting with technical queries received via the compliance mailbox when required.
8. Attend meetings and training sessions as required.
Skills & Experience Required
9. Level 4 Diploma in Regulated Financial Planning (CII) - essential.
10. Proven experience in paraplanning, file checking/quality assurance within a Wealth Management or Financial Planning environment.
11. Strong technical understanding of pensions, investments, protection, and retirement planning.
12. Strong understanding of FCA rules, suitability requirements, and the financial advice process.
13. Excellent communication skills, with the ability to deliver supportive, clear, and consistent feedback.
14. Confident using Intelligent Office and other relevant tools such as FE Analytics, cashflow planning software.
In return you will receive a competitive salary and benefits package.