Career
Do you have experience in file checking or compliance monitoring in a financial planning business?
Join a high-performing financial planning firm where maintaining high-quality standards, mitigating risk, and supporting our Financial Planners in delivering compliant and client-focused recommendations is essential.
If you're looking for a role where you can utilise a methodical mindset to support the quality of advice given to clients, we would love to hear from you.
About the role
You will play a vital role by checking client and case files to ensure they meet internal standards, regulatory requirements and firm policies. You will carry out sample checks, validate documentation, identify gaps or issues, and work with colleagues to ensure corrective actions are completed.
Accountabilities
Carry out regular sample checking of client files and case documentation against defined checklists and regulatory requirements.
Conduct suitability assessments across a range of different products (Pensions, Investments, High Risk products).
Identify documentation gaps, process deviations or compliance issues and record findings accurately.
Produce clear, concise reports on findings, providing clear feedback to Financial Planners, and collaborating with the T&C team to highlight training needs.
Involvement in ad-hoc project work or process improvements (we love people who bring ideas to the table).
Skills and Experience
Previous experience as a File Checker or file reviewing / compliance monitoring role within a financial planning or wealth management firm
Strong understanding of UK financial planning regulations and FCA requirements
Knowledge across pensions, investments, and protection advice
Excellent attention to detail and analytical skills
Strong communication skills with the ability to provide clear and constructive feedback
Diploma qualified (or Chartered status would be advantageous)
Hold a Pension Transfer Advice qualification or working towards
Equity Release and Long Term Care exams are desirable.
Benefits
Competitive Pension Scheme - we contribute 6%, you 3%
26 days holiday plus bank holidays
Private Medical Insurance
Life Assurance (4x)
Group Income Protection
Work From Anywhere policy
Our agile working environment means you will engage in varied tasks and projects, keeping work interesting while you build technical skills and progress your career.