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- Tasks: Review adviser files and ensure compliance with FCA standards.
- Company: Independent Chartered IFA with a stellar reputation in financial planning.
- Benefits: Competitive salary, generous benefits, and fully remote work.
- Why this job: Join a respected firm where your expertise directly impacts client outcomes.
- Qualifications: 12 months' file-checking experience and Level 4 Diploma in Financial Planning required.
- Other info: Dynamic role with opportunities for professional growth and development.
The predicted salary is between 40000 - 45000 £ per year.
Are you a Paraplanner, Report Writer, or experienced File Checker looking to step into a role where your technical expertise genuinely matters? This is an opportunity to join a firm that not only values high-quality advice - it's built its entire reputation on it. I’m recruiting on behalf of a fully independent, Chartered IFA with a strong industry footprint and an outstanding reputation for delivering excellent client outcomes. They’re growing, they’re respected, and they’re offering a rare chance to join their compliance team in a fully remote capacity.
The Role
- Reviewing adviser files across pensions and investments
- Ensuring suitability reports meet FCA and internal standards
- Identifying inconsistencies and providing clear, constructive feedback
- Supporting the wider compliance team with ongoing monitoring
- Ensuring remedial work is completed to a high standard
If you enjoy detail, problem-solving, and influencing good practice, you’ll thrive here.
What You’ll Bring
- Minimum 12 months' file-checking experience, or strong paraplanning/report-writing background
- Level 4 Diploma in Financial Planning (must be diploma qualified)
- Confident decision-maker with excellent communication skills
- Analytical, proactive, and able to work independently
- Strong technical knowledge across pensions, investments, and wider planning areas
If you’re ready to take your career in a new direction with a firm that truly values technical excellence, apply today and let’s talk.
Compliance File Checker - Financial Planning - London - Fully remote- £40k-£45k + generous benefits employer: Financial Divisions
Contact Detail:
Financial Divisions Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance File Checker - Financial Planning - London - Fully remote- £40k-£45k + generous benefits
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial planning sector and let them know you're on the lookout for a Compliance File Checker role. You never know who might have the inside scoop on openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your technical knowledge. Since this role requires strong expertise in pensions and investments, make sure you can confidently discuss these areas. We recommend practising common interview questions related to compliance and file checking.
✨Tip Number 3
Showcase your problem-solving skills! During interviews, share specific examples of how you've identified inconsistencies in files and provided constructive feedback. This will demonstrate your analytical abilities and fit for the role.
✨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 take the initiative to connect directly with us.
We think you need these skills to ace Compliance File Checker - Financial Planning - London - Fully remote- £40k-£45k + generous benefits
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in file checking or paraplanning. We want to see how your skills align with the role, so don’t be shy about showcasing your technical expertise!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance and how your background makes you a perfect fit for our team. Let’s see your personality come through!
Showcase Your Attention to Detail: Since this role involves reviewing adviser files, it’s crucial to demonstrate your attention to detail. Include examples of how you’ve identified inconsistencies or improved processes in your previous roles.
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 this exciting opportunity. Let’s get your journey started!
How to prepare for a job interview at Financial Divisions
✨Know Your Stuff
Make sure you brush up on your technical knowledge, especially around pensions and investments. Familiarise yourself with FCA standards and internal compliance processes, as this will show that you're serious about the role and understand what’s at stake.
✨Showcase Your Experience
Prepare to discuss your previous file-checking or paraplanning experience in detail. Think of specific examples where you identified inconsistencies or provided constructive feedback. This will demonstrate your analytical skills and decision-making abilities.
✨Communicate Clearly
Since excellent communication is key in this role, practice articulating your thoughts clearly and concisely. You might be asked to explain complex concepts, so being able to break them down into simple terms will set you apart.
✨Ask Insightful Questions
Prepare a few thoughtful questions about the company’s compliance processes or their approach to client outcomes. This shows your genuine interest in the role and helps you assess if the company is the right fit for you.