Advice/Compliance File Checker

IDEX Consulting; Glasgow; Hybrid; GBP 28,000 - 40,000; Full time

Job summary

IDEX Consulting Ltd is seeking an experienced Advice/Compliance File Checker to join our established financial services client network in the UK. The role involves reviewing Adviser files, suitability reports and recommendations to ensure they are compliant and meet regulatory standards.

You will provide clear, constructive feedback to Advisers and support high-quality advice with a strong focus on client outcomes, risk management and continuous improvement.

Qualifications

• Minimum level 4 diploma qualified.
• Experience in advice and/or compliance file checking.
• Knowledge of suitability and compliance requirements.
• Experience reviewing suitability reports and assessing 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 support high-quality advice and client outcomes.
• Assist in maintaining high standards of advice, risk management and regulatory compliance.

Skills

Attention to detail

Feedback skills

Regulatory knowledge

Suitability reports

Financial services experience

Education

Level 4 Diploma

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.