About this role

Play a practical role in maintaining file quality and regulatory assurance
Carry out regular sample checking of client files and case documentation against defined checklists and regulatory requirements
Conduct suitability assessments across a range of different products (Pensions, Investments, High Risk products)
Identify documentation gaps, process deviations or compliance issues and record findings accurately
Produce clear, concise reports on findings, providing clear feedback to Financial Planners
Collaborate with the T&C team to highlight training needs
Involvement in ad-hoc project work or process improvements

Previous experience as a File Checker or file reviewing / compliance monitoring role within a financial planning or wealth management firm
Strong understanding of UK financial planning regulations and FCA requirements
Knowledge across pensions, investments, and protection advice
Diploma qualified (or Chartered status would be advantageous)
Hold a Pension Transfer Advice qualification or working towards Equity Release and Long Term Care exams are desirable.

Financial Advice Quality Assessor – Financial Planning

Key skills