Job Description
- 2 x File Checkers (hybrid role, mix of office based and WFH)
- £40k - £60k basic salary plus bonuses
- Chartered IFA firm with offices across Kent
My client are a Chartered independent wealth planning firm in Kent who I have met and placed 10+ members of staff with. They offer whole of market financial advice to HNW retirees, accumulators, local families and SME owners based across Sussex, Kent and London. In their current setup they manage the affairs of 1000 clients with assets ranging from £100k - £20m. The business has £600m AUM. The business offers advice on pensions, investments, tax planning, cashflow modelling, retirement planning, protections (both personal and business) and some esoteric schemes such as VCT & EIS schemes.
The business places exceptional client service and satisfaction at the top of their priorities with a very high rate of client retention with some relations stretching back over 25 years. The Advisers are supported by a highly experienced team of pooled Administrators & Paraplanners across 2 offices who are actively encouraged to progress and develop as both professionals and individuals via ongoing CPD and industry exams.
The Managing Director is seeking 2 x experienced File Checkers who are diploma qualified. The business is ramping up its operations and admin/paraplanning teams due to a large influx of new business via recommendation and referral and they need to bolster their File Checking team. You typical duties will include:
- Suitability & Compliance Review: Assessing files against FCA regulations to ensure recommendations match client objectives and risk profiles.
- Detailed File Examination: Reviewing documentation, including fact-finds, suitability reports, and anti-money laundering checks, to identify gaps, risks, or breaches.
- Feedback & Coaching: Providing clear, constructive feedback to advisers and paraplanners to address errors and improve future Advice Quality (AQ).
- Reporting & MI: Producing reports on file reviews, identifying trends, and recording outcomes for Management Information (MI) to highlight training needs.
- Risk Mitigation: Identifying and escalating potential regulatory risks or poor customer outcomes to the Compliance Manager.
- Remediation & Accuracy: Ensuring all documentation is accurate, complete, and rectifying any breaches in accordance with internal procedures.
If this role sounds of interest or any other roles I am working on please get in touch.
