File Checker (Diploma Qualified) - Wealth Management Firm Maidstone, Up to £60,000 (DOE)

Maidstone Fully Remote or Hybrid Working

Salary Up to £60,000 (DOE) / Excellent Benefits

A growing and well-regarded IFA firm is seeking a Diploma-qualified File Checker to join their compliance team. This is a key role focused on maintaining high advice standards, supporting advisers, and ensuring regulatory compliance across the business.

The Role

You will be responsible for reviewing advice files and ensuring suitability and compliance standards are consistently met. Working closely with advisers and paraplanners, you'll play an important role in improving quality and driving best practice.

Key Responsibilities

• Conduct detailed file reviews across a range of advice cases
• Assess suitability reports and client outcomes in line with FCA requirements
• Provide clear, constructive feedback to advisers
• Identify trends, risks, and areas for improvement
• Support compliance queries from advisers and internal teams
• Assist with maintaining and improving internal processes and standards

Requirements

• Diploma in Regulated Financial Planning (Level 4) - essential
• Experience in file checking, paraplanning, or compliance within an IFA
• Strong technical knowledge of pensions, investments, and protection
• Excellent attention to detail and analytical skills
• Confident communicator with the ability to challenge where needed

What's on Offer

• Hybrid and flexible working
• Supportive and collaborative team environment
• Exposure to a wide range of advice cases
• Opportunity to develop within compliance or T&C

This is an excellent opportunity for a technically strong individual looking to move into or progress within a compliance-focused role in a forward-thinking IFA firm.

Contact Sam at Financial Divisions.