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- Tasks: Review client advice files to ensure compliance and quality standards.
- Company: Join Hoxton Wealth, a leader in financial advice and compliance.
- Benefits: Competitive salary, career progression, and a supportive work environment.
- Why this job: Make a real impact on client outcomes and uphold high professional standards.
- Qualifications: Experience in financial services or compliance; strong attention to detail.
- Other info: Opportunity for growth into senior roles within the company.
The predicted salary is between 36000 - 60000 £ per year.
The Case Checker is responsible for reviewing client advice files to ensure they meet regulatory requirements, internal compliance standards, and Hoxton Wealth's advice quality framework. The role provides independent oversight of the suitability and appropriateness of advice provided by advisers, ensuring positive client outcomes, consistency, and alignment with FCA, MiFID II, and global regulatory expectations. The Case Checker plays a key part in protecting the firm from regulatory risk, supporting Consumer Duty obligations, and maintaining high professional standards across the advice process.
Key Responsibilities
- File Reviews & Quality Assurance
- Conduct pre-sale and post-sale case file checks across pensions, investments, protection, and retirement planning advice.
- Assess the suitability and appropriateness of advice against client objectives, risk profile, and financial circumstances.
- Review documentation including:
- Fact finds
- Attitude to Risk assessments
- Suitability reports
- Product recommendations
- Fee disclosures
- Ensure advice meets regulatory requirements and internal policies.
- Ensure files comply with FCA rules (COBS, SYSC, Consumer Duty), internal advice standards and processes, and product governance expectations.
- Identify gaps, risks, or non-compliant advice and elevate where required.
- Support remediation activity where advice quality concerns are identified.
- Assess whether client outcomes are fair, appropriate, and in the clients best interests.
- Challenge advice where:
- Risk profiling appears inconsistent
- Recommendations do not align with client needs
- Charges do not represent fair value
- Provide clear, constructive feedback to advisers on file quality.
- Support continuous improvement in advice standards.
- Identify training needs and recurring themes across the adviser population.
- Log findings within compliance monitoring systems.
- Highlight conduct risks, advice trends, and systemic weaknesses.
- Contribute to MI reporting for compliance monitoring programme and advice quality dashboards.
- Assist in developing and refining file checking templates, advice standards, and suitability expectations.
- Support policy updates linked to regulatory change.
Key Skills & Experience
- Experience in financial services, compliance, or advice file checking.
- Strong understanding of FCA regulatory framework, suitability requirements, and Consumer Duty principles.
- High attention to detail and analytical mindset.
- Ability to challenge constructively and make balanced judgements.
- Experience reviewing pension transfers, investments, or retirement advice.
- Knowledge of MiFID II suitability standards and risk profiling methodologies.
- Compliance or financial planning qualifications (or working towards).
Personal Attributes
- Objective and independent thinker.
- Strong ethical standards and integrity.
- Confident in providing feedback to advisers.
- Organised and able to manage multiple reviews to deadlines.
- Client-outcome focused.
Key Performance Indicators (KPIs)
- Quality and accuracy of file reviews.
- Timeliness of case checking.
- Identification of risks and trends.
- Contribution to improved adviser standards.
- Support of Consumer Duty outcome monitoring.
This role offers progression into Senior Case Checker or Advice Quality Manager.
Role Impact
The Case Checker is a critical control within Hoxton Wealth's advice governance framework. The role directly supports regulatory compliance, protects clients, and ensures the firm consistently delivers suitable, well-documented, and high-quality financial advice.
Case Checker (UK) employer: Hoxton Wealth Group
Contact Detail:
Hoxton Wealth Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Case Checker (UK)
✨Tip Number 1
Network like a pro! Reach out to people in the financial services sector, especially those who work in compliance or advice quality assurance. Attend industry events or webinars to make connections and learn about potential job openings.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and MiFID II standards. Be ready to discuss how your experience aligns with the role of a Case Checker and how you can contribute to maintaining high professional standards.
✨Tip Number 3
Showcase your analytical skills! During interviews, share examples of how you've identified risks or improved processes in previous roles. This will demonstrate your attention to detail and ability to challenge constructively.
✨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 company.
We think you need these skills to ace Case Checker (UK)
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter for the Case Checker role. Highlight your experience in financial services and compliance, and show how your skills align with our needs at Hoxton Wealth.
Showcase Your Attention to Detail: As a Case Checker, attention to detail is key. Use specific examples in your application that demonstrate your analytical mindset and ability to spot inconsistencies or risks in advice files.
Highlight Relevant Experience: Don’t forget to mention any experience you have with FCA regulations, MiFID II standards, or advice file checking. This will help us see how you can hit the ground running in this role.
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 Case Checker position at Hoxton Wealth.
How to prepare for a job interview at Hoxton Wealth Group
✨Know Your Regulations
Familiarise yourself with the FCA rules, MiFID II standards, and Consumer Duty principles. Being able to discuss these regulations confidently will show that you understand the compliance landscape and can navigate it effectively.
✨Prepare for File Reviews
Review sample case files before your interview. Be ready to discuss how you would assess the suitability of advice against client objectives and risk profiles. This practical knowledge will demonstrate your analytical mindset and attention to detail.
✨Showcase Your Feedback Skills
Think of examples where you've provided constructive feedback in previous roles. Highlight how you approached challenging conversations with advisers and the positive outcomes that resulted. This will illustrate your ability to support continuous improvement.
✨Demonstrate Organisational Skills
Be prepared to discuss how you manage multiple reviews and deadlines. Share specific strategies or tools you use to stay organised, as this role requires juggling various tasks while maintaining high-quality standards.