Compliance case checker Work, Jobs (with Salaries)

Financial Advice Quality Assessor - Financial Planning - North
Atomos —Chester
- Hybrid work
- Analysis skills
- Communication skills
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Veetee RiceLtd —Strood South
- £24,500 - £25,000 a year
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- Free parking
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Building Control Inspectors
Reading Borough Council —Reading
- £37,280 - £55,181 a year
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Customer Operations Analyst - Elevate Programme - Belfast - starting 10th August 2026
Vantage Point —Belfast
- Hybrid work
- Continuous improvement
- Mentoring
- Organisational skills
- Paid training
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Senior Information Manager
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- SharePoint
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Financial Advice Quality Assessor - Financial Planning - North

Atomos -
Chester

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Job details

Benefits

Company pension
Private medical insurance

Qualifications

Financial planning
Pension
Analysis skills
Communication skills

Full job description

Career
You want to join a growing and in-demand team. Playing a critical part in maintaining high-quality standards, mitigating risk, and supporting our Financial Planners in delivering compliant and client-focused recommendations.

You will bring a methodical mindset, strong attention to detail, be ready to learn quickly and make an impact. Ready to engage with stakeholders in the business and Compliance, supporting the quality of advice provided to our clients.

Purpose
This role sits within Advice/ T&C and is responsible for checking client and case files to ensure they meet internal standards, regulatory requirements and firm policies. You will carry out sample checks, validate documentation, identify gaps or issues, and work with colleagues to ensure corrective actions are completed.

Accountabilities

You will play a practical role in maintaining file quality and regulatory assurance. Typical responsibilities include planning and performing file checks, reporting findings, and helping drive timely remediation.

Carry out regular sample checking of client files and case documentation against defined checklists and regulatory requirements.
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, providing clear feedback to Financial Planners, and collaborating with the T&C team to highlight training needs.
Involvement in ad-hoc project work or process improvements (we love people who bring ideas to the table).

Skills and Experience

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

Our agile working environment means you will engage in varied tasks and projects, keeping work interesting while you build technical skills and progress your career.

Apply Now

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compliance case checker jobs

Financial Advice Quality Assessor - Financial Planning - North

Trainee QA Technician

Building Control Inspectors

Customer Operations Analyst - Elevate Programme - Belfast - starting 10th August 2026

Senior Information Manager

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