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File Checker, Leeds (JR-1098)

£27000 - £30000 + employee benefits

Join an established IFA firm with a presence across the UK. The opportunity will be a chance for you to develop within the business. As a File Checker, you’ll ensure that Client Files meet the firm’s Compliance Standards and FCA rules in full, providing support and feedback at all levels as well as identifying emerging trends and risks.

Key Accountabilities

  • Undertake a comprehensive review of advice cases for each individual file
  • Ensure the advice is the most suitable course of action for the customer and that they have enough information to make an informed decision
  • Where concerns are identified, work with the adviser (and paraplanner) to ensure suitable advice is given
  • Review cases where clients have become ‘insistent’ to ensure that the agreed outcome meets Compliance Standards and FCA rules
  • Manage own workload effectively to meet productivity targets
  • Report identified rule breaches (internal or FCA) to the Compliance Monitoring Team
  • Identify any emerging trends or risks to the Compliance Management Team
  • Provide feedback to T&C Consultants and Management Team on specific issues with individual advisers or broader trends to ensure appropriate steps are put in place
  • Provide guidance to advisers and paraplanners on aspects of specific cases to support good consumer outcomes
  • Provide technical assistance to the business about the firm’s standards when designing processes and propositions
  • Provide opinion as to the suitability of any advice given which is the subject of a complaint and highlighting any aspects which impact on it meeting FCA requirements
  • Perform ad hoc tasks and projects as requested by line manager
  • You will work closely with the Financial Advisers and Paraplanners to support good consumer outcomes
  • It will also involve working with the wider compliance team and Regional Managers to identify and mitigate risks


  • You will be a customer focused professional with a keen eye for detail
  • A clear communication style, you’ll demonstrate excellence in the work place, high levels of integrity and be a solid team player
  • Excellent organisational and analytical skills, with the ability to communicate clearly and concisely both verbally and in writing providing constructive feedback and guidance
  • You will be computer literate with the ability to use Microsoft Office, most importantly MSWord and MS Excel at advanced level

Qualifications and Experience

  • Level 4 Diploma in Financial Planning
  • A good working knowledge across the full range of investments, pensions, retirement solutions and protection business
  • Experience with working within an IFA
Employment type: 
Employed (Full Time)
Financial Planning
Reference Number: