File Checker - Financial Planning - London

atomos

London, United Kingdom
Base: not specified; bonus/equity: not specified; ...
On-site
File checking and sample validation
Knowledge of uk financial planning regulations
Attention to detail and analytical skills
This role is responsible for checking client and case files to ensure they meet internal standards, regulatory requirements and firm policies

Job Summary

  • This role is responsible for checking client and case files to ensure they meet internal standards, regulatory requirements and firm policies.
  • Typical responsibilities include planning and performing file checks, reporting findings, and helping drive timely remediation.
  • Benefits include a competitive pension scheme with 6% employer contribution, 26 days holiday plus bank holidays, private medical insurance, life assurance, group income protection, and a Work From Anywhere policy.

Matching Summary

This role is responsible for checking client and case files to ensure they meet internal standards, regulatory requirements and firm policies.

Salary

Base: Not specified; Bonus/Equity: Not specified; Benefits: Competitive Pension Scheme, 26 days holiday plus bank holidays, Private Medical Insurance, Life Assurance, Group Income Protection, Work From Anywhere policy

Skills & Requirements

Must-have

  • File checking and sample validation
  • Knowledge of UK financial planning regulations
  • Attention to detail and analytical skills
  • Conducting suitability assessments
  • Reporting and feedback to Financial Planners

Nice-to-have

  • Engaging with stakeholders and Compliance
  • Involvement in process improvements
  • Strong communication skills
  • Collaborating with T&C team

Key Requirements

  • Previous file checking or compliance monitoring experience
  • Strong understanding of FCA requirements
  • Diploma qualified or Chartered status
  • Pension Transfer Advice qualification or working towards
  • Equity Release and Long Term Care exams desirable

Work Rights

Not specified

Tailored Resume

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