Compliance File Checker

Broadgate; Grimsby; Remote; GBP 45,000 - 65,000; Full time

Job summary

Broadgate is seeking a File Checker for a remote-based role focusing 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 position requiring strong technical knowledge and meticulous attention to detail.

You will review client files, assess alignment with FCA rules, identify gaps, and provide actionable feedback to advisers.

Qualifications

• Minimum Level 4 qualification in financial services or equivalent.
• At least 5 years’ experience in a financial services compliance or file checking role.
• Strong experience working with FCA-regulated firms (pensions and investments).
• Solid knowledge of FCA rules, suitability requirements and regulatory expectations.

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 accurate records of file reviews and outcomes.
• Engage with technology and AI tools to improve efficiency, consistency, and output quality.

Skills

Attention to detail

Regulatory compliance

FCA rules knowledge

Financial services experience

Education

Minimum Level 4 qualification in financial services

Job description

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 accurate records of file reviews and outcomes
• Engage with technology and AI tools to improve efficiency, consistency, and output quality

Requirements

• Minimum Level 4 qualification
• At least 5 years’ experience in a financial services compliance or file checking role
• Strong experience working with FCA-regulated firms (pensions and investments)
• Solid knowledge of FCA rules, suitability requirements, and regulatory expectations