File Checker - Financial Planning
File Checker - Financial PlanningLocation: Kings Hill (Office-based / Hybrid options available)Salary: Up to £60,000A leading financial planning business with offices across the UK is seeking an experienced File Checker to join its growing compliance and quality assurance team, based from its Kings Hilloffice.This is an excellent opportunity to join a well-established and highly regarded firm that places a strong emphasis on delivering high-quality advice and maintaining the highest regulatory standards. The successful candidate will play a key role in ensuring advice files meet regulatory and internal compliance standards, supporting advisers and the wider business in delivering consistently excellent client outcomes.The RoleAs a File Checker, you will be responsible for reviewing financial planning files to ensure they meet regulatory requirements, company standards, and best practice guidelines. You will work closely with advisers, paraplanners, and compliance teams, providing constructive feedback and helping to maintain a culture of high-quality advice.Key ResponsibilitiesReviewing financial advice files across pensions, investments, and protectionEnsuring all files meet FCA regulatory requirements and internal compliance standardsProviding clear and constructive feedback to advisers and paraplannersIdentifying potential risks, compliance issues, or areas for improvementSupporting the wider compliance team with quality assurance processesHelping to promote a culture of ..... full job details .....
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