File Reviewer - IFA Compliance

File Reviewer - IFA Compliance

Location:

Our Support office in Chorley – 1 day working from home and 4 office days (with a requirement that 3 of these need to be at our support office and 1 can be in any of our other offices)

Salary:
Starting from £40,000 per annum + discretionary bonuses

Job Type: Full Time, Permanent

Our client is looking an experienced File Reviewer to join their expanding Compliance Team.

This is more than a traditional file-checking role. It’s a chance to combine hands‑on file reviews with wider compliance projects in a firm where your contribution genuinely shapes the business and your career.

You’ll play a key part in maintaining high standards of advice across pensions, investments, and protection, while also supporting the wider compliance framework of the business.

• Conducting pre- and post-sale file reviews to ensure FCA compliance and advice quality
• Producing clear, actionable feedback for advisers and tracking remedial actions to completion
• Supporting the Head of Compliance with risk management, policy updates, MI reporting, and regulatory audits
• Maintaining Training & C records, including CAS reviews and competency assessments
• Assisting with the development and delivery of compliance training and process improvements

• Level 4 Diploma in Financial Planning (or equivalent) – essential
• Proven experience in compliance, file review, or quality assurance within financial services
• Strong knowledge of FCA rules and financial advice standards (pensions/investments preferred)
• Highly analytical with excellent attention to detail
• Confident communicator, able to provide clear and constructive feedback

• Salary:
  Starting from £40,000 pa
• Discretionary performance-linked bonus
• Employee-Owned business – share in the success and decision-making
• Hybrid working
• Structured support towards Level 6 / Chartered status
• Clear progression into senior compliance roles

This isn’t just another compliance role. It’s a career accelerator in a company that invests in its people, values collaboration, and takes pride in compliance excellence.