At a Glance
- Tasks: Review adviser files for compliance and quality assurance in financial planning.
- Company: Respected wealth management firm with a focus on compliance and client outcomes.
- Benefits: Flexible part-time hours, competitive pay, and comprehensive benefits package.
- Other info: Ongoing professional development and support in a dynamic environment.
- Why this job: Join a growing firm and make a real impact on client financial advice.
- Qualifications: Diploma qualified with strong knowledge of pensions and FCA regulations.
The predicted salary is between 30000 - 40000 £ per year.
- File Checker
- Part-Time | Flexible Hours | Financial Planning
A respected and growing wealth management firm are seeking a File Checker to support their compliance and quality assurance function.
Working closely with the compliance team, you will review advice files across pensions, investments and protection business, ensuring recommendations are suitable, client outcomes are well evidenced, and regulatory standards are consistently met.
Key Responsibilities
- Review adviser files against internal quality and compliance standards.
- Assess the suitability and appropriateness of advice provided.
- Ensure client information and supporting documentation are complete and robust.
- Identify areas of risk and provide constructive feedback.
- Support the embedding of Consumer Duty principles across the advice process.
- Help maintain adherence to FCA regulatory requirements.
About You
- Diploma qualified (or equivalent).
- Strong technical knowledge of pensions, investments and protection products.
- Good understanding of FCA regulations and compliance frameworks.
- Previous experience within compliance, file checking, paraplanning or technical review functions.
- Excellent attention to detail and the ability to work independently.
- What's on Offer
- Flexible, part-time working arrangement.
- Competitive remuneration.
- Opportunity to work with an established and highly regarded financial services organisation.
- Ongoing professional development and support.
- Comprehensive benefits package including bonus potential, pension provision and additional employee benefits.
File Checker in Norwich employer: Focus Search and Selection
Join a highly respected wealth management firm in Sheffield, where your career can truly flourish. With a strong commitment to employee development and a collaborative work culture, this company offers clear pathways for progression, competitive salaries, and a supportive team that values your contributions. Experience the benefits of working in a modern environment that prioritises professional growth and fosters a sense of community among its staff.
Contact Details:
Focus Search and Selection Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land File Checker in Norwich
✨Tap into Compliance Networks
Join compliance and risk management networks like the Association of Compliance Professionals or local chapters. These communities often share part-time opportunities that might not be advertised widely, plus you'll build connections that could lead to your next gig.
✨Utilise Online Job Boards
Specific job boards like ComplianceCrossing or RiskJobs can help you zero in on part-time roles in compliance. Set up alerts for new listings so you're one of the first to apply—timeliness can really set you apart!
✨Tailor Your Networking Approach
When networking, focus on engaging with compliance professionals on platforms like LinkedIn or attending local industry meetups. Bring up specific laws or recent trends to show off your knowledge and make a memorable impression!
✨Leverage Internships for Part-Time Roles
If you've done an internship in compliance risk, reach out to your past supervisors or colleagues. They often know about part-time openings or can refer you to organisations like Focus Search and Selection, potentially speeding up your job search.
We think you need these skills to ace File Checker in Norwich
Some tips for your application 🫡
Show Off Your Compliance Knowledge:When applying for a part-time role in compliance-risk, make sure your CV highlights any relevant coursework, certifications, or experience in regulatory frameworks. We want to see your understanding of compliance standards and risk management concepts, so don’t be shy about bragging about those modules or training programmes.
Demonstrate Analytical Skills:Compliance and risk roles are all about dealing with data, so be sure to showcase your analytical skills in your application. Include specific examples of how you've used analytical tools or methods to identify risk or ensure compliance in previous roles or projects. Trust us, this will make your application stand out!
Emphasise Your Availability:Since this is a part-time role, it's really important to communicate your availability clearly. In your cover letter, let us know your preferred hours and if you're flexible. This helps us see how you can fit into our team and the schedules we need to cover.
Tailor Your Cover Letter to Show Interest:In your cover letter, show us why you want to work in compliance-risk specifically for Focus Search and Selection. Tell us about your passion for helping organisations maintain compliance and how you can contribute to our goals. Personalising this will definitely help make your application more memorable, so take that extra step!
How to prepare for a job interview at Focus Search and Selection
✨Understand Regulatory Frameworks
For a role in compliance-risk, it's crucial to have a solid grasp of the relevant regulations and frameworks, like GDPR or anti-money laundering laws. Brush up on these areas, and be ready to discuss how your knowledge applies to scenarios you might face at Focus Search and Selection.
✨Prepare Case Studies
Since we’re looking at a part-time gig, interviewers may want to see how you approach real-world problems. Prepare some case studies related to risk assessment or compliance frameworks that showcase your analytical skills and decision-making process. This will help you stand out as someone who's ready to jump into the action.
✨Show Off Your Detail Orientation
In compliance, attention to detail is everything. Bring examples from your past experiences where your diligence made a difference, whether that’s spotting a regulatory oversight or ensuring a process was followed to the letter. We want to highlight how this skill can benefit Focus Search and Selection.
✨Connect Your Part-Time Availability
Make it clear how your part-time availability aligns with the needs of Focus Search and Selection. Talk about how your time management skills will help you keep on top of tasks and responsibilities, ensuring you can maximise your impact even with part-time hours.
