Job Description
Most Advice Quality and Compliance jobs seem to come with the same catch.
n
You must already have experience.
n
This one doesn't.
n
If you've got R01-R05 or equivalent, a strong pensions and investments background and the confidence to challenge advisers when something doesn't look right, they'll train you.
n
And there's proper evidence that people can build a career here.
n
The Head of Compliance & Risk, Head of Advice Quality and Head of Advice all joined the business in more junior roles and became Heads of within 10 years.
n
Not bad, huh?
n
THE JOB
n
You'll join the Advice Quality team and focus mainly on pensions and investment cases.
n
Most of the work is pre-sale file checking, reviewing adviser recommendations to make sure the advice is suitable, properly evidenced and meets the required standards.
n
Where something needs changing, you'll provide clear feedback to the adviser and explain what needs to be done.
n
It isn't just sitting behind a screen checking files all day either.
n
You'll speak directly with advisers, answer technical queries, discuss more unusual cases and help them understand what valuable advice and good evidence should look like.
n
There are no individual daily file-checking targets. The team works to an overall 48-hour turnaround SLA.
n
WHAT YOU'LL NEED
n
n
R01-R05 or equivalent
n
Good technical knowledge of pensions and investments
n
Strong attention to detail
n




Confidence speaking with advisers and challenging something when it doesn't look right
n
The ability to explain technical points clearly and constructively
n
n
Previous paraplanning, technical support, compliance or file checking experience would all be relevant.
n
But previous file checking experience is not essential.
n
PACKAGE
n
n
Salary up to £42,500
n
Overtime available
n
Hybrid working -Office days Monday, Thursday and Friday
n
25 days' holiday, increasing to 28 days with service.
n
Employer pension contribution starting at 3% and increasing to 5% with service.
n
2 x salary life assurance.
n
24/7 GP and digital healthcare for you and your household.
n
Medicash health cash plan covering things like dental, optical and physiotherapy costs.
n
Employee Assistance Programme including counselling, legal, financial and wellbeing support.
n
Enhanced maternity, paternity and adoption leave.
n
10 days' paid sickness leave.
n
Free on-site parking.
n
Company and team events throughout the year.
n
Access to the Adviser Academy for further career development within wealth management.
n
Full training provided.
n
Strong track record of internal progression.
n
n
INTERVIEW PROCESS
n
The interview process is straightforward and consists of two stages.
n
First stage: Teams interview covering your CV, experience and an overview of the role.
n
Second stage: A more detailed Q&A-style; interview.

📌 Compliance File Reviewer (New South Wales)
🏢 Exchange Street Claims
📍 New South Wales