Back to jobs

Compliance File Checker

Job description

Idex Consulting are working with an IFA Practice to recruit an experienced Compliance File Checker in Edinburgh.

Key Responsibilities:

  • Conduct comprehensive reviews of pre-sale advice cases and post-sale annual review files (with some annual reviews completed pre-sale where required).
  • Assess files against FCA requirements, internal compliance procedures, and best-practice guidance.
  • Identify and record areas of strength, risks, and improvements, providing clear, constructive feedback to paraplanners and advisers.
  • Ensure suitability reports, client documentation, and supporting evidence meet required standards.
  • Maintain accurate internal logs of all checks, findings, and actions.
  • Keep up to date with regulatory, product, and policy changes that impact advice quality.
  • Support the compliance function by assisting with technical queries received via the compliance mailbox when required.
  • Attend meetings and training sessions as required.


Skills & Experience Required

  • Level 4 Diploma in Regulated Financial Planning (CII) - essential.
  • Proven experience in paraplanning, file checking/quality assurance within a Wealth Management or Financial Planning environment.
  • Strong technical understanding of pensions, investments, protection, and retirement planning.
  • Strong understanding of FCA rules, suitability requirements, and the financial advice process.
  • Excellent communication skills, with the ability to deliver supportive, clear, and consistent feedback.
  • Confident using Intelligent Office and other relevant tools such as FE Analytics, cashflow planning software.


In return you will receive a competitive salary and benefits package.

Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.

Our Diversity, Equity and Inclusion Mission

At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.