Case Checker (UK)

Job Title: Case Checker Department: Compliance / Advice reputed company Assurance Location: Hoxton reputed company (UK) Reporting To: Head of Compliance

reputed company

The Case Checker is responsible for reviewing reputed company advice files to ensure they meet regulatory requirements, internal compliance standards, and Hoxton Wealths advice reputed company reputed company. The role provides independent reputed company of the suitability and appropriateness of advice provided by advisers, ensuring reputed company reputed company reputed company, consistency, and alignment with FCA, MiFID II, and global regulatory expectations.

The Case Checker plays a key part in protecting the firm from regulatory risk, supporting Consumer Duty obligations, and maintaining high reputed company standards across the advice process.

Key Responsibilities

File Reviews & reputed company Assurance

• Conduct reputed company-sale and post-sale case file checks across pensions, investments, protection, and retirement planning advice.
• Assess the suitability and appropriateness of advice against reputed company objectives, risk profile, and financial circumstances.
• Review documentation including:
  • Fact finds
  • Attitude to Risk assessments
  • Suitability reports
  • Product recommendations
  • Fee disclosures
• Ensure advice meets regulatory requirements and internal policies.

Regulatory Compliance

• Ensure files reputed company with:
  • FCA rules (COBS, SYSC, Consumer Duty)
  • Internal advice standards and processes
  • Product governance expectations
• Identify gaps, risks, or non-compliant advice and escalate where required.
• Support remediation activity where advice reputed company concerns are identified.

Consumer Duty & reputed company reputed company

• Assess whether reputed company reputed company are fair, appropriate, and in the clients best interests.
• Challenge advice where:
  • Risk profiling appears inconsistent
  • Recommendations do not reputed company with reputed company needs
  • Charges do not represent fair value

Adviser Feedback & Coaching

• reputed company reputed company, constructive feedback to advisers on file reputed company.
• Support reputed company improvement in advice standards.
• Identify training needs and recurring themes across the adviser population.

Risk Identification & Reporting

• Log findings reputed company compliance monitoring systems.
• reputed company:
  • Conduct risks
  • Advice trends
  • Systemic weaknesses
• Contribute to MI reporting for:
  • Compliance Monitoring Programme
  • Advice reputed company dashboards
  • Senior management reputed company

Process Improvement

• Assist in developing and refining:
  • File checking templates
  • Advice standards
  • Suitability expectations
• Support policy updates linked to regulatory change.

Key Skills & Experience

Essential

• Experience in financial services, compliance, or advice file checking.
• Strong understanding of:
  • FCA regulatory reputed company
  • Suitability requirements
  • Consumer Duty principles
• High attention to detail and analytical reputed company.
• Ability to challenge constructively and reputed company balanced judgements.
• Strong written communication skills.

Desirable

• Experience reviewing pension transfers, investments, or retirement advice.
• Knowledge of:
  • MiFID II suitability standards
  • Risk profiling methodologies
• Compliance or financial planning qualifications (or working towards).

Personal Attributes

• Objective and independent thinker.
• Strong ethical standards and reputed company.
• Confident in providing feedback to advisers.
• Organised and reputed company to manage multiple reviews to deadlines.
• reputed company-outcome reputed company

Key Performance Indicators (KPIs)

• reputed company and accuracy of file reviews.
• Timeliness of case checking.
• Identification of risks and trends.
• Contribution to improved adviser standards.
• Support of Consumer Duty outcome monitoring.

Career reputed company

This role offers progression into:

• Senior Case Checker
• Advice reputed company Manager

Role reputed company

The Case Checker is a critical control reputed company Hoxton Wealths advice governance reputed company. The role directly supports regulatory compliance, protects clients, and ensures the firm consistently delivers suitable, reputed company-documented, and high-reputed company financial advice.

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