File Checker (Private wealth advice)

CB3 Associates Ltd
Closing date
9 Feb 2022

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Contract Type
Full Time
The Company: I am currently working on behalf of a highly successful, nationally renowned IFA firm based in Central Leeds who are currently looking for a File Checker to review pre-sale advice. In support of their technical support team and adviser-base you will be joining an expanding firm who model themselves on providing professional, independent, whole of market financial advice with high quality service and support to all clientele.

The Role: To assess the suitability of advice provided by the group's Financial Advisers. This will cover all product lines such as Investments, Pensions, Protection, Mortgages and General Insurance and will ensure that the advice provided to the customer is correct and any errors can be identified and acted upon, ensuring suitable customer outcomes.
  • Assessing new business submissions in accordance with the firms' Business Standards
  • Providing appropriate feedback to individual advisers
  • Demonstrating and applying understanding of internal Business Standards
  • Proactively identifying trends and feeding continuous improvement
  • Identifying and building relationships with key contacts (both internally and externally) and providing advice and guidance as required
  • Promotion of teamwork within the Business Assessment Team

Home-working flex: This is a full-time internal compliance role offering the ability to work from home 2/3 days a week

The Person: You must come from a wealth management and ideally hold at least 2 years' experience within a financial services organisation; being either QCF level 4 qualified or progressing towards this. Exposure to COBS, ICOB and MCOB product and sales process would be preferred but isn't essential, as well as FCA and regulatory knowledge and experience. The role would suit someone coming from a technical/paraplanning background who has maybe had 6+ months experience of suitability report compilation and is keen on migrating into a more file review orientated role.

What next? Please send CV applications to Chris at CB3 Associates Ltd and they will be reviewed inside 24 hours. And for further opportunities we are working on within the financial services sector please visit the website below:


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