Croft and Oakes Financial Planners Ltd.
Self Employed File Checker
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Company Description
Croft and Oakes Financial Planners Ltd. is an independent advisory firm that helps clients make clear, effective financial plans by simplifying complex issues through highly qualified, experienced advice. Founded in 2016 by Keith Croft and Chris Oakes, the firm provides high-quality, holistic, and unbiased financial planning to clients in Shropshire and surrounding areas. The advisory team consists of Chartered Financial Planners with at least 20 years of experience in major banks and wealth management providers, supported by a dedicated customer service team. Croft and Oakes is committed to professional excellence, specialising in complex financial matters and building long-term relationships with clients as their needs evolve.
Role Description
This is a full-time, self-employed File Checker role based in Telford with a hybrid working arrangement, allowing some work from home. The File Checker will review and assess client advice files to ensure they meet regulatory, compliance, and internal quality standards, providing clear feedback and action points where needed. Day-to-day tasks include checking suitability reports, verifying documentation, confirming that advice is appropriate and in clients’ best interests, and ensuring that processes are followed correctly. The role involves liaising with advisers and support staff to resolve file queries, maintaining accurate records of findings, and contributing to continuous improvement of advice quality and systems. The File Checker will also stay up to date with relevant financial regulations and industry best practices, applying this knowledge to each file reviewed.
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Qualifications
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- Strong knowledge of financial planning, including pensions, investments, protection, and retirement planning, with the ability to assess suitability of advice.
- Experience in compliance, quality assurance, or file checking within financial services, ideally within an independent financial advice or wealth management environment.
- Relevant professional qualifications such as Diploma in Financial Planning (DipPFS) or equivalent; Chartered Financial Planner status or progress toward it is an advantage.
- Excellent attention to detail, analytical skills, and the ability to interpret complex financial and regulatory information accurately.
- Clear written communication skills to produce concise file reviews and feedback, and confident verbal communication for discussing findings with advisers.
- Strong organizational and time-management skills, with the ability to manage a consistent file review workload and meet agreed turnaround times.
- Comfort with hybrid working, including effective use of technology, secure document management, and remote collaboration tools.
- Commitment to ethical practice, client-centered decision making, and ongoing professional development in line with regulatory and industry changes.
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