At a Glance
- 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.
- Other info: Dynamic role with opportunities for professional growth and development.
- 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.
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
Join a fully independent, Chartered IFA that prioritises high-quality advice and fosters a culture of excellence. With a commitment to employee growth and a fully remote working environment, this firm offers generous benefits and the opportunity to make a meaningful impact in compliance. Experience a supportive atmosphere where your technical expertise is valued and rewarded, making it an ideal place for professionals seeking to advance their careers in financial planning.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance File Checker - Financial Planning - London - Fully remote- £40k-£45k + generous benefits
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Financial Divisions looking for candidates who are engaged and informed.
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 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Financial Divisions. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Financial Divisions
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Financial Divisions’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
