File Checker
Remote-based
This growing FCA-regulated IFA business is looking for a file checker to focus on reviewing financial advice files across pensions and investments to ensure suitability, regulatory compliance, and consistent quality standards. This is a high-volume, fast-paced role requiring strong technical knowledge and excellent attention to detail.
Key Responsibilities
- Review client files, suitability reports, and supporting documentation for compliance and quality
- Assess whether financial advice aligns with FCA requirements, client objectives, risk profile, and regulatory standards
- Identify gaps, inconsistencies, and potential areas of non-compliance
- Provide clear, structured, and constructive feedback to advisers and firms
- Ensure all reviews are completed accurately and within agreed SLAs and timelines
- Handle complex pensions and investment cases, including higher-risk planning structures
- Maintain accurate records of file reviews and outcomes
- Engage with technology and AI tools to improve efficiency, consistency, and output quality
Requirements
- Minimum Level 4 qualification
- At least 5 years’ experience in a financial services compliance or file checking role
- Strong experience working with FCA-regulated firms (pensions and investments)
- Solid knowledge of FCA rules, suitability requirements, and regulatory expectations
