Hybrid/Remote Compliance File Checker: Elevate Advice

IDEX Consulting; Glasgow; On-site; 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

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.