Financial Advice Quality & Compliance Auditor
Listed on 2026-10-26
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Finance & Banking
Regulatory Compliance Specialist -
Quality Assurance - QA/QC
Regulatory Compliance Specialist
Lime People Search & Select Ltd is partnering with a UK-based Financial Planning firm to recruit a Business / Quality Assessor who ensures all financial advice cases comply with current requirements.
In this role you will validate Know Your Client information, review reports and suitability letters, and provide constructive feedback to paraplanners and advisers. The ideal candidate has experience in file checking and aims to raise reporting standards across the firm.
We would love to welcome a new Financial Advice Quality & Compliance Auditor to our team in Newcastle upon Tyne, England, United Kingdom.
We are currently recruiting a Financial Advice Quality & Compliance Auditor for our team in Newcastle upon Tyne, England, United Kingdom.
This is a strong opportunity to take on the Financial Advice Quality & Compliance Auditor role at Lime People Search & Select Ltd.
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