File Checker

File Checker

Part-Time | Flexible Hours | Financial Planning

A respected and growing wealth management firm are seeking a File Checker to support their compliance and quality assurance function.

Working closely with the compliance team, you will review advice files across pensions, investments and protection business, ensuring recommendations are suitable, client outcomes are well evidenced, and regulatory standards are consistently met.

Key Responsibilities

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• Review adviser files against internal quality and compliance standards.
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• Assess the suitability and appropriateness of advice provided.
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• Ensure client information and supporting documentation are complete and robust.
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• Identify areas of risk and provide constructive feedback.
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• Support the embedding of Consumer Duty principles across the advice process.
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• Help maintain adherence to FCA regulatory requirements.
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About You

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• Diploma qualified (or equivalent).
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• Strong technical knowledge of pensions, investments and protection products.
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• Good understanding of FCA regulations and compliance frameworks.
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• Previous experience within compliance, file checking, paraplanning or technical review functions.
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• Excellent attention to detail and the ability to work independently.
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What's on Offer

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• Flexible, part-time working arrangement.
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• Competitive remuneration.
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• Opportunity to work with an established and highly regarded financial services organisation.
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• Ongoing professional development and support.
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• Comprehensive benefits package including bonus potential, pension provision and additional employee benefits.
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