File Checker: Advice Quality & FCA Compliance (Hybrid)

AnaVation LLC; Harrogate; Hybrid; GBP 40,000 - GBP 60,000; Full time

Job summary

A wealth management company in the UK seeks a File Checker to ensure the accuracy and compliance of client advice files within Titan Wealth Planning. The ideal candidate will conduct detailed reviews, provide constructive feedback, and ensure all advice meets regulatory requirements. A Level 4 Diploma in Financial Planning and at least 2 years of relevant experience are essential. The position offers competitive salary, hybrid working, and numerous benefits to support employee wellbeing.

Benefits

Competitive salary

Attractive Employee Pension Scheme

25 days Annual Leave plus public holidays

Private medical insurance

Discretionary performance related bonus

Further education and training support

Employee Assistance Programme

Voluntary work days

Qualifications

• 2+ years' experience in a similar role within an FCA-regulated business.

Responsibilities

• Conduct detailed reviews of client advice files for accuracy and compliance.
• Provide feedback to paraplanners and advisers for improvement.
• Support the Manager with recurring compliance issues.

Skills

Attention to detail

Regulatory compliance knowledge

Analytical skills

Team collaboration

Education

Level 4 Diploma in Financial Planning (or equivalent)

Job description

A wealth management company in the UK seeks a File Checker to ensure the accuracy and compliance of client advice files within Titan Wealth Planning. The ideal candidate will conduct detailed reviews, provide constructive feedback, and ensure all advice meets regulatory requirements. A Level 4 Diploma in Financial Planning and at least 2 years of relevant experience are essential. The position offers competitive salary, hybrid working, and numerous benefits to support employee wellbeing.