File Checker

  File Checker - Business Quality
A leading UK financial advice network is looking for a Business Quality Adviser to join its Supervision & Assurance team, reviewing advice files to make sure clients get good outcomes.

What you'll do

• Carry out pre- and post-sale file reviews across Investments, Pensions, Mortgages and Insurance
• Assess suitability, affordability, capacity for loss, risk profiling and disclosure against COBS, MCOB, ICOBS, PROD and Consumer Duty
• Give clear, constructive feedback to advisers and support them in raising standards
• Run root cause analysis on failed or at-risk cases and help improve controls and guidance
• Contribute to thematic reviews (e.g. retirement advice, DB transfers, vulnerable customers)

What you'll need

• Experience in quality assurance or paraplanning within a financial advice firm
• Strong knowledge of FCA rules, Consumer Duty and vulnerable customer guidance
• Level 4 Diploma (DipPFS, DipFA or equivalent)