Compliance File Reviewer

Exchange Street Claims & Financial Services; North East; Hybrid; GBP 26,000 - 43,000; Full time

Benefits offered by this job

Hybrid working

25 days holiday

Pension contribution

Life assurance

GP access

Medicash health plan

Employee assistance programme

Maternity/paternity leave

Paid sickness leave

On-site parking

Company events

Adviser Academy

Training and progression

Job summary

Exchange Street Claims & Financial Services is seeking a detail‑minded adviser quality professional to focus on pensions and investments. You will review pre‑sale files, check that recommendations are suitable and properly evidenced, and provide constructive feedback to advisers.

You will also engage with advisers directly, answering technical questions and discussing more unusual cases to ensure high-quality advice and robust evidence.

Qualifications

• R01-R05 or equivalent
• Good technical knowledge of pensions and investments
• Strong attention to detail
• Confidence speaking with advisers and challenging something when it doesn't look right
• The ability to explain technical points clearly and constructively
• Previous paraplanning, technical support, compliance or file checking experience would all be relevant
• But previous file checking experience is not essential

Responsibilities

• Mainly pre-sale file checking for pensions and investments
• Review adviser recommendations to ensure advice is suitable and properly evidenced
• Provide clear feedback to advisers on what needs to be changed
• Speak with advisers, answer technical queries and discuss unusual cases
• Help advisers understand what good advice and evidence should look like
• Work within a 48-hour turnaround SLA

Skills

R01-R05 or equivalent

Technical knowledge pensions/invest

Attention to detail

Communication with advisers

Explain technical points clearly

Job description

Most Advice Quality and Compliance jobs seem to come with the same catch.

You must already have experience.

If you've got R01-R05 or equivalent, a strong pensions and investments background and the confidence to challenge advisers when something doesn't look right, they'll train you.

And there's proper evidence that people can build a career here.

The Head of Compliance & Risk, Head of Advice Quality and Head of Advice all joined the business in more junior roles and became Heads of within 10 years.

Not bad, huh?

THE JOB

You'll join the Advice Quality team and focus mainly on pensions and investment cases.

Most of the work is pre-sale file checking, reviewing adviser recommendations to make sure the advice is suitable, properly evidenced and meets the required standards.

Where something needs changing, you'll provide clear feedback to the adviser and explain what needs to be done.

It isn't just sitting behind a screen checking files all day either.

You'll speak directly with advisers, answer technical queries, discuss more unusual cases and help them understand what good advice and good evidence should look like.

There are no individual daily file-checking targets. The team works to an overall 48-hour turnaround SLA.

WHAT YOU'LL NEED

• R01-R05 or equivalent
• Good technical knowledge of pensions and investments
• Strong attention to detail
• Confidence speaking with advisers and challenging something when it doesn't look right
• The ability to explain technical points clearly and constructively

Previous paraplanning, technical support, compliance or file checking experience would all be relevant.

But previous file checking experience is not essential.

PACKAGE

• Salary up to £42,500
• Overtime available
• Hybrid working - Office days Monday, Thursday and Friday
• 25 days' holiday, increasing to 28 days with service.
• Employer pension contribution starting at 3% and increasing to 5% with service.
• 2 x salary life assurance.
• 24/7 GP and digital healthcare for you and your household.
• Medicash health cash plan covering things like dental, optical and physiotherapy costs.
• Employee Assistance Programme including counselling, legal, financial and wellbeing support.
• Enhanced maternity, paternity and adoption leave.
• 10 days' paid sickness leave.
• Free on-site parking.
• Company and team events throughout the year.
• Access to the Adviser Academy for further career development within wealth management.
• Full training provided.
• Strong track record of internal progression.

INTERVIEW PROCESS

The interview process is straightforward and consists of two stages.

First stage: Teams interview covering your CV, experience and an overview of the role.

Second stage: A more detailed Q&A-style interview.

If you've wanted to move into Advice Quality or Compliance but keep seeing jobs asking for experience you haven't yet had the chance to get, this could be a really good route in.