Location: Leeds
A leading, award-winning wealth management firm working with a significant proportion of the UK’s Financial Advisers. With a strong focus on innovation, technology, and an inclusive culture, the company is transforming the financial services industry. The Compliance File Checker will play a key role within the compliance team, ensuring all client cases reviewed meet FCA and internal standards.
Responsibilities:
- Review client files to ensure compliance with FCA regulations and internal advice standards.
- Assess client suitability reports, documentation, and adviser assessments.
- Identify risks, discrepancies, or breaches and escalate appropriately.
- Maintain high accuracy in reviewing complex client files.
- Provide constructive feedback and guidance to advisers.
- Support compliance training and respond to internal queries.
- Report trends or potential issues to the Compliance Manager.
- Qualification: Minimum Level 4 (e.g., Diploma in Regulated Financial Planning or equivalent).
- Experience: Previous compliance or file-checking experience in an FCA-regulated environment.
- Knowledge: Strong understanding of FCA regulations, advice suitability, and financial products (pensions, investments, insurance).
