File Checker

**Description**:
Progeny is looking for a File Checker, internally known as Business Quality Assessor, to join our Compliance team. This role will give you the opportunity to join and learn from a dynamic team, whilst ensuring excellent client outcomes. We are looking for an individual who is able to identify any possible weaknesses in business quality submission, and can recommend solutions to reduce or mitigate risk.

As a File Checker, you will work closely with the Training & Competence Supervisor to ensure any development needs are captured, and plans are created where required.

**Key Responsibilities**:

- Assessment of advice in accordance with the Regulators and Progeny Policy.
- Manage the file review and pre-approval processes, ensuring files are reviewed in line with the T&C Scheme and appropriate levels of supervision.
- Undertake file checks on client cases predominantly in the wealth arena but may be called upon to assist in client reviews across all Progeny businesses.
- Delivering good client outcome ensuring all cases are brought to an appropriate conclusion in a timely manner.
- Prepare MI on file checks undertaken, identifying trends and potential areas of risk / non-compliance.
- Manage compliance and delivery of all remedial action on client files undertaken.

**Skills, Knowledge and Expertise**:

- Diploma in Financial Planning or equivalent (essential)
- File checking experience gained within Financial Services/IFA background (essential).
- CeMAP (desirable)
- Certificate in Long Term Care Insurance (desirable)
- A good understanding of Defined Benefit Transfer Regulation.
- Ability to maintain high quality records.
- Excellent organisation and communication skills.

Please refer to our job description to review the responsibilities and person specifications in more detail.

**Benefits**:

- 30 days holiday plus public holidays
- Wellbeing day
- Birthday holiday
- Volunteering day
- Private medical insurance, 24/7 digital GP and health advice
- Employee assistance programme providing support for your mental and physical health
- Group pension scheme
- Life assurance scheme
- Eyecare vouchers
- Family leave
- Hybrid working
- Referral scheme

**About Progeny**:
We create, enhance, and preserve wealth.

We are the first and only firm in the UK to bring together independent financial planning, asset management, tax, HR, and private and corporate legal services.

We are forward-thinking and tech-driven, using technology to eliminate paperwork, improve communications, and enrich the relationship between client and adviser.

At Progeny, we believe that we all have the power to make good things happen. We want to use our success as a catalyst for making real change. We created the Progeny Foundation to support local charities including Zarach and we have recently achieved the globally recognised B-Corp certification.

In 2022, we continued to onboard new team members and made 85 hires, resulting in an overall growth of 42%. We are the proud winners of the Yorkshire Financial Awards 2023 Best Employer award for the second year running.