File Checker
other jobs REED Insurance
Added before 3 hours
- England,North East,Tyne and Wear,Newcastle upon Tyne
- Full Time, Permanent
- £45,000 - £60,000 per annum, inc benefits
Job Description:
Financial Services File Checker
About the Company
Our client is a leading organisation in the wealth management sector, specialising in pensions and investments. With over 15 years of experience, they work with a significant proportion of the UK’s financial advisers and have built a reputation for innovation and excellence.
The Role
Our client is seeking a File Checker to join their dynamic compliance team. The successful candidate will review cases submitted by a large network of financial advisers, ensuring files meet regulatory standards and internal policies.
About You
Qualifications:
*Minimum Level 4 qualification (e.g., Diploma in Regulated Financial Planning or equivalent).
Experience:
*Previous experience in a compliance or file-checking role within an FCA-regulated financial services firm is preferred.
*Familiarity with client files in areas such as financial advice, pensions, investments, and insurance.
Technical Knowledge:
*Strong understanding of FCA regulations and advice standards.
*Knowledge of financial products, client suitability, and the advice process.
Skills:
*Exceptional attention to detail and accuracy when reviewing complex documentation.
*Ability to identify discrepancies, gaps, and compliance risks.
Key Responsibilities
*Review client files to ensure compliance with FCA regulations and internal standards.
*Assess suitability reports and supporting documentation against policies and procedures.
*Identify and escalate potential risks or breaches to the Compliance Manager.
*Provide clear feedback to advisers and assist with training to improve file quality.
*Respond to compliance queries and offer guidance on best practices.
Benefits
*Company and team events throughout the year.
*Competitive pension contributions (increasing with service).
*Free on-site parking.
*33 days annual leave including Bank Holidays (increasing with service).
*Enhanced maternity, paternity, and adoption leave.
*Cashback rewards on online purchases.
*Access to a dedicated academy for career development within wealth management.
About the Company
Our client is a leading organisation in the wealth management sector, specialising in pensions and investments. With over 15 years of experience, they work with a significant proportion of the UK’s financial advisers and have built a reputation for innovation and excellence.
The Role
Our client is seeking a File Checker to join their dynamic compliance team. The successful candidate will review cases submitted by a large network of financial advisers, ensuring files meet regulatory standards and internal policies.
About You
Qualifications:
*Minimum Level 4 qualification (e.g., Diploma in Regulated Financial Planning or equivalent).
Experience:
*Previous experience in a compliance or file-checking role within an FCA-regulated financial services firm is preferred.
*Familiarity with client files in areas such as financial advice, pensions, investments, and insurance.
Technical Knowledge:
*Strong understanding of FCA regulations and advice standards.
*Knowledge of financial products, client suitability, and the advice process.
Skills:
*Exceptional attention to detail and accuracy when reviewing complex documentation.
*Ability to identify discrepancies, gaps, and compliance risks.
Key Responsibilities
*Review client files to ensure compliance with FCA regulations and internal standards.
*Assess suitability reports and supporting documentation against policies and procedures.
*Identify and escalate potential risks or breaches to the Compliance Manager.
*Provide clear feedback to advisers and assist with training to improve file quality.
*Respond to compliance queries and offer guidance on best practices.
Benefits
*Company and team events throughout the year.
*Competitive pension contributions (increasing with service).
*Free on-site parking.
*33 days annual leave including Bank Holidays (increasing with service).
*Enhanced maternity, paternity, and adoption leave.
*Cashback rewards on online purchases.
*Access to a dedicated academy for career development within wealth management.
Job number 3188171
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Company Details:
REED Insurance
Company size: 2,500–4,999 employees
Industry: Other
Reed Insurance is the UK’s #1 insurance and financial services recruitment agency, with offices located strategically in every financial service...