Compliance Officer/ File Checker – London- 10 Month FTC

recruitukltd Salary: £30,000 Pro rata

Our client is a leading provider of wealth and investment management services with almost £9bn under management.  They currently have 13 offices across the UK and employ c.500 professionals to advise Private Clients, Professionals, Corporates, Institutions and Charities on a range of financial services and products, including their own.  They have attained their size, strength and reputation by providing a high quality, personalised service to clients, whatever stage of life or financial ambitions.


Their London offices are currently seeking a file checker.  The role is to monitor the advice given in historic cases by their Discretionary Fund Manager’s to ensure that the advice, investment reports and suitability letters issued by the business are in-line with their company standards and FCA regulations.


The role will require the successful candidate to ensure that advice and products that were recommended are suitable and to raise and issues or inconsistencies.  The role will also give you the opportunity to provide support to the head of advice delivery with a range of process improvements within the department.


Skills and experience


Successful candidates are likely to demonstrate the following:


  • Good knowledge of Suitability (Minimum QCF Level 4 Diploma qualified, preferably working towards Chartered/ IMC) and at least 3-5  years working in a Discretionary/Advisory Managed environment.
  • Strong analytical capability
  • Experience of monitoring portfolio management or wealth management regulated individuals/ dealing with advisers
  • Confident and articulate with excellent written and verbal communication skills
  • Good attention to detail and sound planning prioritisation, & organisational skills



If you would like to find out more about this role then please contact Louise Sheppard At Recruit UK Ltd on 0117-9450-450 or apply online. Quote reference 11755

Upload your CV/resume or any other relevant file. Max. file size: 16 MB.