Compliance File Checker

Location: West Sussex
Job Type: Permanent
Salary: £27,500 to £32,500 per annum

Our client, an advice business based in West Sussex have an exciting opportunity for an experienced and focussed file checker to join their well-established team.


Job responsibilities:

  • Ensure that reports and suitability letters are in line with internal and external (FCA) policies and procedures
  • Monitor the advice that is provided to the networks clients by its advisers (predominantly across pensions and investments)
  • Provide feedback on any findings whilst undertaking the above duties; this includes inconsistencies/errors and escalating this to the appropriate individual
  • Work closely with the FCA and internal compliance team


Key experience/skills:

  • Previous investment and pension file checking experience
  • Level 4 diploma (or at least working towards this)
  • Strong attention to detail


If you are interested in this Compliance File Checker position and have the right skills and experience then please apply now.

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