The File Checker ensures the accuracy and compliance of client advice files, providing feedback for continuous improvement and collaborating with teams to uphold best practices.
Titan Wealth is a fast-growing wealth management business, both in the UK and internationally. It has evolved a fairer, more efficient and effective business model, structured to deliver leading advice-led wealth management services, giving financial advisers and their clients the best opportunity to fulfil their dreams and ambitions.
We provide a dynamic work environment full of opportunity, one where both individual and team initiative and contribution is encouraged, so that together we can deliver better outcomes for our clients over the long term.
The File Checker is responsible for ensuring the accuracy, completeness, and regulatory compliance of client advice files within Titan Wealth Planning. Working closely with advisers, paraplanners, compliance colleagues, and operational teams, the File Checker plays a key role in maintaining high-quality advice standards and supporting the firm’s commitment to best practice and robust consumer outcomes.
Responsibilities
- File Checking & Quality Assurance
- Conduct detailed reviews of client advice files (new business and ongoing advice) to ensure accuracy, suitability, and compliance with internal policies and FCA regulations.
- Assess appropriateness of recommendations, documentation, risk assessments, and suitability reports.
- Evaluate completeness and integrity of KYC, AML, and financial planning information.
- Compliance & Regulatory Alignment
- Ensure advice files meet regulatory requirements including Consumer Duty, COBS, and MiFID II.
- Identify potential risks, breaches, or inconsistencies and escalate where necessary.
- Support the Manager by providing insights into recurring issues or emerging compliance themes.
- Feedback & Continuous Improvement
- Provide clear, constructive feedback to paraplanners and advisers on how to resolve issues or strengthen documentation.
- Track and monitor file quality trends to support continuous improvement initiatives.
- Contribute to the development and refinement of file-checking processes, templates, and quality standards.
- Team Support & Collaboration
- Collaborate with advisory, compliance, and administration teams to ensure smooth file completion workflows.
- Attend internal meetings and training sessions to remain current on regulatory change and business updates.
- Support new team members by sharing best practices and helping maintain a culture of quality and accountability.
Critical Skills and Experience required
- Level 4 Diploma in Financial Planning (or equivalent).
Qualifications (Essential & Desirable)
- Must have at least 2 years’ experience in a similar role within an FCA‑regulated business.
Key Interfaces (Internal and External)
- Members of the Compliance team, Advisers, Paraplanners, and wider business stakeholders.
FCA requirements
- Adhere to all FCA regulations including consumer duty.
Titan Key behaviours
- Commercial Awareness
- Innovation
- Collaboration
- Team contribution
- Professionalism
This role is a hybrid role based in Harrogate, you will be required to be in the office 3 days a week and two from home.
Our employees are talented people, distinguished by excellence. You will be able to demonstrate a willingness to embrace the Company values of:
Creativity – we recognise we need new ways of thinking, learning and doing to both improve our own productivity and efficiency as well as to help us stay ahead of competitors.
Commitment – we are team with the willingness to put time, effort and energy into driving change in the organisation, going the extra mile.
Collaboration – we need teamwork amongst ourselves and with partners to generate more innovative, efficient and effective solutions and thereby a greater sense of achievement.
Terms
- Competitive salary
- Attractive Employee Pension Scheme (7.5% employer & minimum 3% employee)
- 25 days Annual Leave + public holidays
- Buy and sell holidays up to 5 days
- Office Christmas close (3-days)
- A range of benefits which includes private medical insurance, Group life insurance, and income protection insurance.
- Hybrid working
- Further education and training support
- Discretionary performance related bonus
- Confidential Employee Assistance Programme
- 2 days per year for voluntary work
- And lots of flexible benefits to choose from!
The Titan Wealth Group is firmly committed to fostering an inclusive and equitable environment for everyone who works with us, regardless of their race, age, gender, sexual orientation, religion, physical ability or disability, or political affiliation. We believe that having a diverse team allows us to create the best possible outcomes for our clients and team members. We strive to provide equal opportunities in all aspects of the workplace with respect to recruitment and career advancement, pay and benefits, training and development opportunities and other job-related activities.
Titan Wealth Holdings London, England Office
101 Wigmore Street, London, United Kingdom, W1U 1QU
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