FCA Compliance File Checker – Wealth Management

Reed Specialist Recruitment; North East; On-site; GBP 30,000 - 40,000; Full time

Job summary

A leading recruitment agency in the UK seeks a Financial Services File Checker for a dynamic compliance team. The successful candidate will review adviser-submitted cases to ensure they meet regulatory standards. Qualifications include a minimum Level 4 qualification and preferred experience in compliance roles. Key responsibilities involve assessing files for compliance and providing training for quality improvement. The position offers various benefits including competitive pension contributions, generous annual leave, and access to career development resources.

Benefits

Company and team events throughout the year

Competitive pension contributions (increasing with service)

Free on-site parking

33 days annual leave including Bank Holidays (increasing with service)

Enhanced maternity, paternity, and adoption leave

Cashback rewards on online purchases

Access to a dedicated academy for career development

Qualifications

• Previous experience in a compliance or file-checking role within an FCA-regulated financial services firm is preferred.
• Familiarity with client files in areas such as financial advice, pensions, investments, and insurance.
• Strong understanding of FCA regulations and advice standards.

Responsibilities

• Review client files to ensure compliance with FCA regulations and internal standards.
• Assess suitability reports and supporting documentation against policies and procedures.
• Identify and escalate potential risks or breaches to the Compliance Manager.
• Provide clear feedback to advisers and assist with training to improve file quality.
• Respond to compliance queries and offer guidance on best practices.

Skills

Attention to detail

Compliance risk identification

Education

Level 4 qualification (e.g., Diploma in Regulated Financial Planning)

Job description

A leading recruitment agency in the UK seeks a Financial Services File Checker for a dynamic compliance team. The successful candidate will review adviser-submitted cases to ensure they meet regulatory standards. Qualifications include a minimum Level 4 qualification and preferred experience in compliance roles. Key responsibilities involve assessing files for compliance and providing training for quality improvement. The position offers various benefits including competitive pension contributions, generous annual leave, and access to career development resources.