Compliance File Checker – Wealth Management QA (Edinburgh)

IDEX Consulting; City of Edinburgh; On-site; GBP 30,000 - 40,000; Full time

Job summary

A financial services recruitment agency is seeking an experienced Compliance File Checker in Edinburgh. You will conduct reviews of pre-sale and post-sale advice cases, ensuring compliance with FCA regulations. The ideal candidate possesses a Level 4 Diploma in Regulated Financial Planning and experience in file checking within financial planning. A competitive salary and benefits package will be offered.

Benefits

Competitive salary

Benefits package

Qualifications

• Experience in file checking within a Wealth Management environment.
• Strong technical understanding of pensions, investments, and retirement planning.
• Ability to deliver clear and supportive feedback.

Responsibilities

• Conduct comprehensive reviews of pre-sale and post-sale advice cases.
• Assess files against FCA requirements and provide feedback.
• Maintain accurate logs of all checks and findings.

Skills

Level 4 Diploma in Regulated Financial Planning (CII)

Proven experience in paraplanning

Strong understanding of FCA rules

Excellent communication skills

Confident using Intelligent Office

Education

Level 4 Diploma in Regulated Financial Planning

Tools

Intelligent Office

FE Analytics

cashflow planning software

Job description

A financial services recruitment agency is seeking an experienced Compliance File Checker in Edinburgh. You will conduct reviews of pre-sale and post-sale advice cases, ensuring compliance with FCA regulations. The ideal candidate possesses a Level 4 Diploma in Regulated Financial Planning and experience in file checking within financial planning. A competitive salary and benefits package will be offered.