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Quality Assurance Officer

  • Salary: £28000 - £32000 per annum + benefits
  • Location: Leeds, West Yorkshire
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    23 Apr 2019
  • Job reference: 32337

Are you looking to working in the head office of a national wealth management firm based in Leeds city centre? Are you looking for a business who encompasses best practice and provides their Advisers with the best service to provide the up most client care?
My client are based in East Leeds and are looking for a File Checker to join their growing compliance team.

The Opportunity

  • Undertake reviews on holistic financial planning cases
  • Ensure that the case file and advice is accurate and all relevant information has been obtained as well as enduring the advice that has been provided to the client is suitable and meets the FCA guidelines
  • Work with the Independent Financial Advisers to mentor and guide on suitable advice along with the Paraplanner if the file is unsatisfactory
  • Report any identified issues to the compliance monitoring team
  • Be able to communicate trends in advice and issues with compliance management team to reduce risk of advice across the business


To be successful in application you will require strong organisational skills and be able to manage your own diary, have a leading knowledge of FCA regulations for all areas of financial planning advice. Be able to communicate with the management team, your colleagues and Advisers across the business in an informative and constructive manner. You must hold the Diploma in Financial Planning or equivalent to be a successful applicant.
In reward for your efforts you will receive a basic salary which is negotiable dependent on experience and a impressive employee benefits structure. You will also benefit from their modern offices, team socials and softer benefits.

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful, we aim to contact you to discuss the opportunity in more detail within 2 working days. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful. If your application is unsuccessful, the information supplied may still be retained for up to 3 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.

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