File Checker (Financial Planning) Permanent Competitive Salary Newcastle (Hybrid – 2/3 days in the office)Start Date – February to May 2025CVs by ASAPMeraki Talent is working with a fast growing and boutique wealth management organisation to recruit a File Checker. This role requires someone to have a level 4 diploma in financial planning and a strong understanding of the financial planning domain. These positions have come about due to internal restructuring and the ongoing expansion of the organization.You will play a vital part in ensuring that client files comply with the standards set by the Financial Conduct Authority (FCA) and the company's internal policies.Ideal candidates will have prior experience in file checking, but broader financial services experience is also acceptable as comprehensive training on the firm’s processes will be provided. This is an excellent opportunity to further your professional qualifications with the firm covering additional relevant certifications, along with potential career development into paraplanning or advisory roles.Key Responsibilities of the File Checker (Financial Planning)

Perform thorough checks on client files to ensure they meet FCA standards and internal guidelines.
Review adviser suitability reports and related documentation, ensuring they comply with company procedures and regulatory requirements.
Spot potential compliance issues or risks within client files, escalating them to the Compliance Manager as needed.
Regularly provide feedback to the team on trends, issues, and areas for improvement in file documentation.
Offer constructive guidance to advisers on how to enhance file quality and ensure compliance with regulatory standards.

Background of the File Checker (Financial Planning)

Level 4 qualification (e.g., Diploma in Regulated Financial Planning or equivalent) is required.
Previous experience in file checking or a compliance role within a regulated financial services firm is highly desirable.
Strong understanding of FCA regulations and suitability standards for financial advice.
Excellent attention to detail with the ability to identify inconsistencies or errors in client files.

Rory wants: File Checker, Level 4 Diploma, Financial Planning Please see our website page headed (eg) ‘Privacy Notice’ for an explanation about how we use information we collect about you’

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