IDEX Consulting Ltd
Glasgow, UK
We are seeking an experienced Advice/Compliance File Checker to join an established financial services business. The role will involve reviewing Adviser files, suitability reports and recommendations to ensure advice is suitable, compliant and meets regulatory and internal standards. You will provide clear, constructive feedback to Advisers and play an important role in maintaining high standards of advice and positive client outcomes. Key Requirements Minimum level 4 diploma qualified Previous experience in advice and/or compliance file checking Good knowledge of suitability and compliance requirements Experience reviewing suitability reports and assessing the quality and appropriateness of financial advice Strong attention to detail with the ability to provide clear, practical and constructive feedback The role offers hybrid working, although remote working will also be considered for candidates who can travel to Edinburgh or Glasgow when required. A...
