File Checker – Financial Planning
Location: Rochester (Office-based / Hybrid options available)
Salary: Up to £60,000
A leading financial planning business with offices across the UK is seeking an experienced File Checker to join its growing compliance and quality assurance team, based from its Rochester office.
This is an excellent opportunity to join a well-established and highly regarded firm that places a strong emphasis on delivering high-quality advice and maintaining the highest regulatory standards. The successful candidate will play a key role in ensuring advice files meet regulatory and internal compliance standards, supporting advisers and the wider business in delivering consistently excellent client outcomes.
The Role
As a File Checker, you will be responsible for reviewing financial planning files to ensure they meet regulatory requirements, company standards, and best practice guidelines. You will work closely with advisers, paraplanners, and compliance teams, providing constructive feedback and helping to maintain a culture of high-quality advice.
Key Responsibilities
- Reviewing financial advice files across pensions, investments, and protection
- Ensuring all files meet FCA regulatory requirements and internal compliance standards
- Providing clear and constructive feedback to advisers and paraplanners
- Identifying potential risks, compliance issues, or areas for improvement
- Supporting the wider compliance team with quality assurance processes
- Helping to promote a culture of best practice and high-quality client outcomes
Requirements
- Previous experience as a File Checker, Compliance Officer, or Senior Paraplanner within a financial planning or wealth management firm
- Strong understanding of UK financial planning regulations and FCA requirements
- Knowledge across pensions, investments, and protection advice
- Excellent attention to detail and analytical skills
- Strong communication skills with the ability to provide clear and constructive feedback
- Diploma qualified (or working towards) would be advantageous
What’s on Offer
- Salary up to £60,000
- Opportunity to join a highly respected financial planning firm
- Supportive and professional working environment
- Clear career development opportunities
- Exposure to a high-quality client base and advice process
This role would suit an experienced File Checker, Compliance professional, or technically strong Paraplanner looking to move into a dedicated compliance-focused position within a reputable financial planning firm.
Sector:
- Financial Services
- Financial Planning
