Compliance File checker, diploma qualified

A well-established Chartered Independent Financial Advice firm with a strong presence across Central Scotland is continuing to expand and is seeking an experienced Advice Review / Compliance Checker to join its growing team.

This is an excellent opportunity for a detail-oriented professional who enjoys maintaining high standards, improving client outcomes, and working closely with financial advisers to ensure quality and regulatory excellence across the advice process.

The position offers flexibility, with the option of a hybrid arrangement from a central Edinburgh office or a fully remote working pattern for individuals who can demonstrate significant experience within financial services compliance and file review.

The successful individual will be responsible for reviewing advice files, assessing suitability reports, and ensuring recommendations meet regulatory requirements and internal quality standards.

The role will involve supporting advisers through constructive feedback, identifying trends, highlighting potential risks, and helping maintain a culture of continuous improvement across the business.

Key Responsibilities

• Conduct detailed pre- and post-sale reviews of financial planning and wealth management advice files.
• Assess suitability reports and client documentation for regulatory compliance and quality standards.
• Identify errors, inconsistencies, and potential risks within advice cases.
• Provide clear and constructive feedback to financial advisers and support staff.
• Monitor adviser standards and identify recurring themes requiring additional guidance or training.
• Assist with regulatory monitoring activities and internal compliance projects.
• Maintain accurate records of file reviews and quality assurance outcomes.
• Support the wider compliance team in ensuring robust regulatory processes are maintained.

The firm is keen to speak with professionals who possess:

• Level 4 Diploma qualification (or equivalent) in Financial Planning.
• Previous experience in a compliance, file review, quality assurance, or advice checking role within financial services.
• Experience working closely with financial advisers and understanding the advice process.
• Strong technical knowledge of financial planning and wealth management advice.
• Excellent attention to detail and the ability to identify mistakes, omissions, and potential regulatory concerns.
• Strong written and verbal communication skills.
• A proactive and solutions-focused approach.
• The ability to manage workloads effectively while maintaining high levels of accuracy.

What's on Offer?

• Opportunity to join a growing Chartered financial planning firm with an excellent reputation.
• Flexible working arrangements with hybrid and remote options available.
• Competitive salary and benefits package.
• Supportive and collaborative culture.
• Ongoing professional development and career progression opportunities.
• Exposure to a broad range of financial planning and wealth management cases.

This role would suit an experienced compliance professional, file reviewer, paraplanner looking to move into compliance, or an existing quality assurance specialist seeking a new challenge within a progressive and expanding advice business.

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