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- Tasks: Review client files and advice cases for compliance with FCA standards.
- Company: Join Radiant, a supportive and positive IFA business.
- Benefits: Enjoy an early finish on Fridays, generous holiday, and health perks.
- Other info: Collaborative team culture with great career development opportunities.
- Why this job: Make a real impact by ensuring quality in financial advice.
- Qualifications: Experience in compliance or file checking within a regulated environment.
The predicted salary is between 40000 - 48000 £ per year.
Location: Doncaster, Birmingham, Barnstaple or Market Harborough (Hybrid)
Employment Type: Full-Time (with an early Friday finish!)
Salary: Up to £40,000-48,000 depending on experience
We are seeking a diligent and detail-oriented Advice Checker / File Reviewer to join our regulated IFA business. The successful candidate will be responsible for reviewing client files and advice cases to ensure compliance with the standards set by the Financial Conduct Authority (FCA) and the firm’s internal Compliance procedures. This is a key role in maintaining the integrity and quality of our advice process.
Why Join Radiant?
- Work-life balance: Early finish every Friday at 2:15pm, plus flexible hybrid working
- Generous time off: 28 days holiday + bank holidays + your birthday off
- Financial security: 4x salary death-in-service cover, up to 5 years income protection, and 5% employer-matched pension contributions
- Health & wellbeing: MediCash benefits including 24/7 GP access, mental health support, and retail discounts
- Career development & progression: Access to the Radiant Academy for structured training.
- Team culture: Join a collaborative, approachable group of professionals who value both excellence and support
What You’ll Be Doing
- Conduct thorough reviews of advice files to a defined standard, ensuring all recommendations and documentation meet FCA and company requirements.
- Deliver clear, constructive, and developmental feedback in both written and verbal forms to Planners and Paraplanners, supporting continual development across the team.
- Independently manage and prioritise a personal workload, meeting review deadlines and maintaining accurate records of outcomes and actions required.
- Stay up to date with regulatory changes and internal process updates, applying these consistently in file reviews.
- Proactively identify trends and systemic issues and liaise with compliance and management teams to elevate any concerns identified during the review process.
What You’ll Bring
- Previous experience in a compliance, file checking, or paraplanning role within a regulated IFA environment is essential.
- Excellent written and verbal communication skills, with the ability to provide feedback in a clear, professional, and constructive manner.
- Strong organisational skills and the ability to work autonomously, managing a varied workload to defined deadlines.
- Meticulous attention to detail and a sound understanding of FCA requirements and best practice in financial advice.
Advice Checker/File Reviewer in Birmingham employer: Radiant Financial
Contact Detail:
Radiant Financial Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Advice Checker/File Reviewer in Birmingham
✨Tip Number 1
Network like a pro! Reach out to professionals in the finance and compliance sectors on LinkedIn. Join relevant groups, engage in discussions, and don’t be shy to ask for informational interviews. We all know that sometimes it’s not just what you know, but who you know!
✨Tip Number 2
Prepare for those interviews by practising common questions related to compliance and file reviewing. We recommend using the STAR method (Situation, Task, Action, Result) to structure your answers. This will help you showcase your experience effectively and demonstrate your attention to detail.
✨Tip Number 3
Don’t forget to research the company culture! Radiant values a supportive environment, so think about how you can show you’d fit right in. We suggest preparing examples of how you’ve contributed to team success in previous roles.
✨Tip Number 4
Finally, apply through our website! It’s the best way to ensure your application gets seen. Plus, we love seeing candidates who take the initiative to connect directly with us. Let’s get you on board!
We think you need these skills to ace Advice Checker/File Reviewer in Birmingham
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Advice Checker/File Reviewer role. Highlight your experience in compliance and file checking, and don’t forget to mention any relevant qualifications or training that align with FCA standards.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for our team at Radiant. Share specific examples of how you've provided constructive feedback and maintained compliance in previous roles.
Showcase Your Attention to Detail: As an Advice Checker, attention to detail is key. In your application, include examples that demonstrate your meticulous nature and how you’ve successfully managed workloads while meeting deadlines in past positions.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from our team!
How to prepare for a job interview at Radiant Financial
✨Know Your FCA Stuff
Make sure you brush up on the Financial Conduct Authority (FCA) regulations and standards. Being able to discuss how these apply to the role of an Advice Checker/File Reviewer will show that you're serious about compliance and understand the importance of these guidelines.
✨Showcase Your Attention to Detail
Prepare examples from your past experience where your meticulous attention to detail made a difference. Whether it was catching a mistake in a file or improving a process, having specific stories ready will demonstrate your capability for this role.
✨Practice Constructive Feedback
Since you'll be providing feedback to Planners and Paraplanners, think about how you can deliver constructive criticism effectively. Role-play scenarios with a friend or family member to get comfortable with giving feedback in a clear and professional manner.
✨Be Ready to Discuss Trends
Stay updated on current trends in the financial advice sector and be prepared to discuss any systemic issues you've noticed in previous roles. This shows that you’re proactive and can contribute to elevating concerns during the review process.