File Checker – Financial Planning

🕒 April 2

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atomos wealth

WebsiteLinkedInAll Job Openings

201 - 500 employees

We’re atomos and we’re here to make your dreams and financial ambitions a reality.

📋 Description

• Checking client and case files to ensure they meet internal standards, regulatory requirements and firm policies • Carry out sample checks, validate documentation, identify gaps or issues, and work with colleagues to ensure corrective actions are completed • Planning and performing file checks, reporting findings, and helping drive timely remediation • Conduct suitability assessments across a range of different products (Pensions, Investments, High Risk products) • Identify documentation gaps, process deviations or compliance issues and record findings accurately • Produce clear, concise reports on findings and provide clear feedback to Financial Planners

🎯 Requirements

• Previous experience as a File Checker or file reviewing / compliance monitoring role 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 Chartered status would be advantageous) • Hold a Pension Transfer Advice qualification or working towards Equity Release and Long Term Care exams are desirable.

🏖️ Benefits

• Competitive Pension Scheme - we contribute 6%, you 3% • 26 days holiday plus bank holidays • Private Medical Insurance • Life Assurance (4x) • Group Income Protection • Work From Anywhere policy