At a Glance
- Tasks: Review financial advice files for compliance and quality in a fast-paced environment.
- Company: A growing FCA-regulated IFA business with a focus on excellence.
- Benefits: Remote work, competitive salary, and opportunities for professional growth.
- Other info: Engage with innovative technology to enhance efficiency and quality.
- Why this job: Make a real impact by ensuring financial advice meets regulatory standards.
- Qualifications: Level 4 qualification and 5 years' experience in compliance or file checking.
The predicted salary is between 45000 - 55000 £ per year.
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.
Compliance File Checker in Grimsby employer: Broadgate
Join a dynamic and rapidly growing FCA-regulated IFA business that values compliance and quality in financial advice. As a remote-based Compliance File Checker, you will benefit from a supportive work culture that prioritises employee development and offers opportunities for growth within the financial services sector. With a focus on innovation and efficiency through technology, this role provides a meaningful chance to contribute to regulatory excellence while enjoying the flexibility of remote work.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance File Checker in Grimsby
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector, especially those who work with FCA-regulated firms. A friendly chat can lead to insider info about job openings that might not even be advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on your technical knowledge. Make sure you can discuss FCA rules and suitability requirements confidently. We recommend practising common interview questions related to compliance and file checking to show off your expertise.
✨Tip Number 3
Showcase your attention to detail! During interviews or networking events, share examples of how you've identified gaps or inconsistencies in previous roles. This will demonstrate your ability to maintain high-quality standards in compliance.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive and engaged with our platform.
We think you need these skills to ace Compliance File Checker in Grimsby
Some tips for your application 🫡
Tailor Your CV:Make sure your CV highlights your experience in compliance and file checking. We want to see how your skills align with the role, so don’t be shy about showcasing your knowledge of FCA regulations and your attention to detail!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for our team. Share specific examples of how you've handled complex cases or improved processes in previous roles – we love a good story!
Showcase Your Technical Skills:Since this role involves engaging with technology and AI tools, make sure to mention any relevant tech skills you have. We’re keen on candidates who can leverage these tools to enhance efficiency and quality in their work.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re proactive – a quality we value highly!
How to prepare for a job interview at Broadgate
✨Know Your FCA Rules
Make sure you brush up on the FCA rules and suitability requirements before your interview. Being able to discuss specific regulations and how they apply to financial advice will show that you’re not just familiar with the basics, but that you truly understand the compliance landscape.
✨Showcase Your Attention to Detail
Since this role requires a keen eye for detail, prepare examples from your past experience where you identified gaps or inconsistencies in client files. Highlighting these instances will demonstrate your ability to maintain high-quality standards and ensure compliance.
✨Prepare for Technical Questions
Expect technical questions related to pensions and investments. Brush up on complex cases you've handled and be ready to explain your thought process. This will help you convey your strong technical knowledge and experience effectively.
✨Engage with Technology
Familiarise yourself with any technology or AI tools that are relevant to file checking. Be prepared to discuss how you’ve used technology to improve efficiency in your previous roles. This shows that you’re proactive and adaptable, which is crucial in a fast-paced environment.
