File Checker

7 months ago


Darlington, United Kingdom The Verve Group Full time

**About the Role**:
Sitting within the compliance department, the role of the file checker is to ensure that the work produced by advisers is compliant Looking at the rules and guidance set by the regulator, and seeing how that translates into the output that is the adviser’s client files. But here at Verve you may have noticed that we don’t do things traditionally; we want the file checker to take a common sense approach to compliance and understand how a file fits within a firm’s advice process.

We encourage our firms to truly understand the compliance requirements for their files (hint, it’s not an 80-page suitability report) and the role of the file checker is key to ensuring that the regulatory requirements are covered in the correct way, and that poor outcomes are avoided for clients.

**The role includes**:

- Conducting file reviews across a multitude of business areas (pensions, investments, mortgages, protection).
- Liaising with internal departments to ensure issues identified in a firm’s advice process are adapted.
- Ensuring that the file checking process remains in line with regulatory rules and guidance, and taking a pragmatic approach to compliance.
- Opportunities to host internal and external training sessions on ‘World Class Files’.

**About you**:
We’re looking for someone who has experience with reviewing advice files and an understanding of the regulatory requirements. Therefore, we request applicants have:

- Experience in conducting file reviews within the financial planning space.
- Level 4 qualification (if you do not hold the full qualification, but have extensive experience, please get in touch).
- Further qualifications desirable (Defined Benefits, Equity Release, Long Term Care).
- Above all, we love someone with a positive attitude who likes a challenge and isn’t afraid to roll their sleeves up and get on with the job

**About us**:
The Verve Group offers a range of services to financial planners and ultimately works towards two key missions; to help support good quality financial advice firms to grow and develop, and to attract new people into financial services and help train them up, for the good of the future of finance.

Across all companies, we approach financial services with a fun and positive outlook and offer a range of benefits to permanent employees to ensure our staff feel supported and motivated. We reward loyalty and offer enhanced benefits to reward employees who choose to grow their career with us, but as standard these include

**Standard benefits**:

- 26 days holiday PLUS bank holidays AND your birthday off (if it falls on a weekday)
- Personalised salary structure to reflect your own effort and contribution
- Enhanced maternity and paternity cover
- Death in service cover
- Personal development budget (for exams, training, anything to help you excel)
- Company pension scheme.
- Hybrid working with ability to work from home (on completion of training and dependant on experience)

**What makes us different?**
- Dress code? Not here We want you to be yourself (and comfortable).
- A company with a higher purpose and strong values.
- Health and wellbeing programme and initiatives
- Office snacks and refreshments
- Open plan ‘living office’ environment - including rocking (or sometimes dubious) playlists, beer/wine fridge, breakout lounge, breakfast club, ping pong table.
- 2 official annual company parties, plus ad hoc team nights out and monthly enrichment sessions
- Office dogs welcome

Salary dependant on experience - £25,000 - £30,000 per year