Compliance File Checker

File Checker
Remote-based
This growing FCA-regulatedIFA business is looking for a file checker to focus on reviewing financial advice files across pensions and investments to ensure suitability, regulatory compliance, and consistent quality standards. This is a high-volume, fast-paced role requiring strong technical knowledge and excellent attention to detail.
Key Responsibilities

• Review client files, suitability reports, and supporting documentation for compliance and quality
• Assess whether financial advice aligns with FCA requirements, client objectives, risk profile, and regulatory standards
• Identify gaps, inconsistencies, and potential areas of non-compliance
• Provide clear, structured, and constructive feedback to advisers and firms
• Ensure all reviews are completed accurately and within agreed SLAs and timelines
• Handle complex pensions and investment cases, including higher-risk planning structures
• Maintain ac...

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Submit your application today and join our talented team at Broadgate.