Compliance Officer, Finance & Banking

Compliance Officer

Chorley, Lancashire (4 days office-based, 1 day WFH)

£40,000 Basic Salary + Bonus

Are you a Level 4 Diploma-qualified compliance professional looking to join a respected and growing financial planning firm?

Our client, a highly regarded and client-focused financial services business, is seeking a Compliance Officer – IFA (File Review) to join their expanding Compliance team. This is a fantastic opportunity to take on a varied role that combines hands‑on file reviews with broader compliance responsibilities in a firm where your contribution will genuinely make an impact.

• Conduct pre- and post-sale file reviews across pensions, investments, and protection business
• Ensure advice meets FCA requirements and internal quality standards
• Produce clear, constructive feedback reports for advisers and track remedial actions
• Support the Head of Compliance with risk management activities, including policy updates and regulatory audits
• Assist with Management Information (MI) reporting
• Maintain Training & Competence (T&C) records, including CAS reviews and competency assessments
• Contribute to compliance training initiatives and process improvements

• Level 4 Diploma in Financial Planning (or equivalent) – essential
• Proven experience in compliance, file review, or QA within financial services
• Strong technical knowledge of pensions and investment advice
• Solid understanding of FCA regulations and financial advice standards
• Excellent analytical skills and exceptional attention to detail
• The confidence to deliver clear, constructive feedback to advisers

• Discretionary bonus scheme
• 1 day per week working from home
• Opportunity to join a well-respected and growing wealth management firm
• A culture focused on quality advice, client care, and professional development
• This is an excellent opportunity for a compliance professional who wants to play a meaningful role in maintaining high advice standards while developing their career within a supportive and ambitious organisation.

For more information or to apply, please get in touch today.