We are seeking an experienced Advice/Compliance File Checker to join an established financial services business. The role will involve reviewing Adviser files, suitability reports and recommendations to ensure advice is suitable, compliant and meets regulatory and internal standards. You will provide clear, constructive feedback to Advisers and play an important role in maintaining high standards of advice and positive client outcomes. Key Requirements Minimum level 4 diploma qualified Previous experience in advice and/or compliance file checking Good knowledge of suitability and compliance requirements Experience reviewing suitability reports and assessing the quality and appropriateness of financial advice Strong attention to detail with the ability to provide clear, practical and constructive feedback The role offers hybrid working, although remote working will also be considered for candidates who can travel to Edinburgh or Glasgow when required. A great opportunity for an experienced File Checker seeking a flexible role with a strong focus on quality, compliance and good client outcomes. Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how...
Advice/Compliance File Checker employer: IDEX Consulting Ltd Careers
Join a well-established independent Chartered insurance broker in Bristol, where you will find a supportive work culture that prioritises employee growth and development. With comprehensive training and mentorship from experienced professionals, you'll have the opportunity to enhance your technical knowledge and advance your career in the commercial insurance market. The company values ambition and offers a dynamic environment that encourages progression, making it an excellent employer for those looking to build a meaningful career.
Contact Details:
IDEX Consulting Ltd Careers Recruitment Team
