Are you a detail-oriented compliance professional with a passion for financial services? Our client is looking for an experienced IFA File Checker to join their the team and help ensure high standards across our client advice files and documentation.
About the Role As an IFA File Checker, you will play a critical role in safeguarding the quality and compliance of the advice we deliver to clients. This involves reviewing Independent Financial Advisors’ client files to ensure advice is suitable, meets regulatory standards, and aligns with our internal policies. Your insights and recommendations will help improve our compliance framework and support advisors in delivering the best service to our clients.
Key Responsibilities *File Review: Conduct comprehensive checks on client files to ensure adherence to regulatory standards and suitability of advice across areas such as investments, pensions, and protection products.
*Compliance Monitoring: Ensure that all files meet FCA and internal compliance guidelines, with a focus on Treating Customers Fairly (TCF) and MiFID II principles.
*Feedback & Support: Provide constructive feedback to advisors and staff, helping to enhance quality and consistency across the team.
*Record-Keeping & Reporting: Document and report file-checking outcomes, track follow-ups, and maintain detailed records.
*Training & Development: Offer guidance to advisors on compliance best practices and support their ongoing training needs.
*Trend Analysis: Identify common trends in file review findings and suggest improvements to strengthen compliance processes.
About You *Experience: 3+ years in a compliance or file-checking role within financial services, with a focus ideally on Pensions Transfers.
*Qualifications: Minimum Level 4 Diploma in Financial Planning (e.g., CII or LIBF); additional compliance certifications are a plus.
*Knowledge: Strong grasp of FCA regulations, particularly concerning retail investments, pensions, and financial planning.
*Attention to Detail: Sharp eye for detail and accuracy in assessing documentation.
*Communication: Excellent written and verbal communication skills, able to provide clear feedback and support.
*Tech Skills: Proficient with compliance systems, CRM tools, and Microsoft Office Suite.
What We Offer *Competitive Salary and benefits package
*Flexible Working Options, including hybrid or remote arrangements
*Professional Development opportunities to support your career growth
*A Collaborative and Supportive Team environment
If you’re ready to make a difference by ensuring quality and compliance in financial services, we’d love to hear from you!
Applicants must be located and eligible to work in the UK without sponsorship.
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