File Checker (Diploma Qualified) - Wealth Management Firm Maidstone, Up to £60,000 (DOE)
Maidstone Fully Remote or Hybrid WorkingSalary Up to £60,000 (DOE) / Excellent BenefitsA growing and well-regarded IFA firm is seeking a Diploma-qualified File Checker to join their compliance team. This is a key role focused on maintaining high advice standards, supporting advisers, and ensuring regulatory compliance across the business.The RoleYou will be responsible for reviewing advice files and ensuring suitability and compliance standards are consistently met. Working closely with advisers and paraplanners, you''ll play an important role in improving quality and driving best practice.Key ResponsibilitiesConduct detailed file reviews across a range of advice casesAssess suitability reports and client outcomes in line with FCA requirementsProvide clear, constructive feedback to advisersIdentify trends, risks, and areas for improvementSupport compliance queries from advisers and internal teamsAssist with maintaining and improving internal processes and standardsRequirementsDiploma in Regulated Financial Planning (Level 4) - essentialExperience in file checking, paraplanning, or compliance within an IFAStrong technical knowledge of pensions, investments, and protectionExcellent attention to detail and analytical skillsConfident communicator with the ability to challenge where neededWhat''s on OfferHybrid and flexible workingSupportive and collaborative team environmentExposure to a wide range of advice casesOpportunity to develop within compliance or TandCThis is an ..... full job details .....
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