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.
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At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.
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Advice/Compliance File Checker in Glasgow employer: IDEX Consulting Ltd
As a Product Governance Manager at our Lloyd’s Syndicate in London, you will thrive in a dynamic and supportive work environment that prioritises employee growth and development. We offer a flexible four-day work week, fostering a healthy work-life balance while providing opportunities to engage with senior leadership and make impactful contributions to our governance framework. Join us to be part of a collaborative culture that values innovation and excellence in delivering customer outcomes.
