Compliance Officer – File Review
Location: Warrington, Cheshire
Salary: £30,000 - £35,000 + Benefits
Looking to take your compliance career to the next level?
Our client, a fast-growing and highly regarded financial services firm, is on the hunt for a Compliance Officer (File Review) to join their dynamic team. If you’ve got an eye for detail, a passion for doing things right, and the confidence to support advisers in meeting FCA standards, this could be your perfect move.
What you’ll be doing:
No two days are the same – you’ll get involved in a wide range of compliance work, including:
- Reviewing adviser files across investments, pensions, mortgages, and protection.
- Producing audit reports and making sure remedial actions are completed quickly.
- Giving advisers the guidance and support they need to stay compliant.
- Keeping adviser compliance records up to date and accurate.
- Checking marketing materials to ensure they’re fair, clear, and not misleading.
- Owning the compliance inbox – handling queries and supporting projects.
- Getting involved in T&C administration, recruitment processes, audit packs, and more.
This is a role where you’ll get broad exposure, not just file reviews – you’ll be a key player in keeping the business running smoothly and compliantly.
What we’re looking for:
- Experience in compliance, file review, or auditing within financial services.
- Ideally, passed the Level 4 Diploma in Financial Planning or working towards the qualification.
- If you’re a Financial Advisor and looking to move away from advising, please apply.
- Good knowledge of FCA rules and regulatory standards.
- Strong organisational skills and razor-sharp attention to detail.
- Confident communicator who can work with advisers and stakeholders.
- Proactive, solutions-focused, and ready to take ownership.
What’s in it for you?
- A competitive salary + benefits package.
- Exposure to a wide range of compliance areas.
- A collaborative, supportive culture where your contribution matters.
Ready to step up? Apply now and take the next big step in your compliance career!