Paraplanning & Compliance File Reviews
Technical support for regulated advice firms, from someone who spent a career producing the work he is now reviewing.
Whether you need capacity during a busy period, a second pair of eyes before submission, or a periodic look at files already written, we work as an extension of your back office.
Who We Work With
We work with directly authorised firms and appointed representatives: those without an in-house paraplanner, those whose paraplanner is at capacity, and those who simply want independent scrutiny of their own work.
Everything we produce is produced for you. Your adviser makes the recommendation, your firm signs it off, and your firm remains responsible for it.
How We Help
Suitability Report Drafting
We draft suitability reports to your firm’s own templates, tone and permissions, working from the information and objectives your adviser supplies. You review, amend and sign off before anything reaches a client.
Research and Comparison
Structured, evidenced research to support your adviser’s recommendation, documented so that the reasoning behind a decision remains clear to anyone reading the file months or years later.
Pre-Submission File Checks
A check before the file goes anywhere. Is the objective captured, does the recommendation follow from it, is the evidence trail complete, and would it read well to somebody reviewing it cold?
Periodic File Reviews
Sample reviews across your back book, reported as written findings and themes rather than a list of individual faults. Most firms find the value lies in the pattern rather than the single file.
Remediation Support
Where a review identifies work that needs putting right, we can support your team through it – prioritising, drafting and keeping a clear record of what was done and why.
Templates and Process
If the same issues keep recurring, the cause is usually the template or the process rather than the person. We can rework both.
A note on our status
UnaVida Wealth Management Ltd is no longer a regulated adviser and has withdrawn from the FCA. This is a non-regulated outsourced support service provided to regulated firms. We do not advise your clients, we do not make or approve recommendations, and we do not provide compliance sign-off. All regulatory responsibility, including the suitability of any advice given, remains with your firm.
How We Start
Send us one anonymised file. We will review it, show you what our work looks like in practice, and talk through how an ongoing arrangement might run. There is no charge for the first file and no obligation afterwards.
ARRANGE A CONVERSATION
Our Approach
Practice Management & Mentoring – Fixing the process behind the file, not just the file.
Exit & Succession Planning – Preparing your firm, and your client bank, for sale or internal succession.
