Advice/Compliance File Checker

IDEX Consulting; City of Edinburgh; Hybrid; GBP 32,000 - 42,000; Full time

Job summary

IDEX Consulting in the UK is seeking an experienced Advice/Compliance File Checker to join an established financial services business. You will review Adviser files, suitability reports and recommendations to ensure advice is suitable, compliant and meets regulatory standards.

You will provide clear, constructive feedback to Advisers, helping maintain high standards of advice and positive client outcomes. The role is hybrid with remote options for candidates able to travel to Edinburgh or

Qualifications

• Minimum level 4 diploma qualified
• Previous experience in advice and/or compliance file checking
• Good knowledge of suitability and compliance requirements
• Experience reviewing suitability reports and assessing the quality and appropriateness of financial advice
• Strong attention to detail with the ability to provide clear, practical and constructive feedback

Responsibilities

• Review Adviser files, suitability reports and recommendations to ensure advice is suitable, compliant and meets regulatory and internal standards.
• Provide clear, constructive feedback to Advisers to improve the quality of advice and client outcomes.

Skills

Experience in file checking

Suitability & Compliance

Suitability reports

Attention to detail

Feedback delivery

Education

Diploma Level 4

Job description

We are seeking an experienced Advice/Compliance File Checker to join an established financial services business.

The role will involve reviewing Adviser files, suitability reports and recommendations to ensure advice is suitable, compliant and meets regulatory and internal standards. You will provide clear, constructive feedback to Advisers and play an important role in maintaining high standards of advice and positive client outcomes.

Key Requirements

• Minimum level 4 diploma qualified
• Previous experience in advice and/or compliance file checking
• Good knowledge of suitability and compliance requirements
• Experience reviewing suitability reports and assessing the quality and appropriateness of financial advice
• Strong attention to detail with the ability to provide clear, practical and constructive feedback

The role offers hybrid working, although remote working will also be considered for candidates who can travel to Edinburgh or Glasgow when required.

A great opportunity for an experienced File Checker seeking a flexible role with a strong focus on quality, compliance and good client outcomes.

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Our Diversity, Equity and Inclusion Mission

At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.