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: £35,000 - £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.

Key responsibilities include:

Conducting pre- and post-sale file reviews to ensure FCA compliance and advice qualityProducing clear, actionable feedback for advisers and tracking remedial actions to completionSupporting the Head of Compliance with risk management, policy updates, MI reporting, and regulatory auditsMaintaining Training & Competence (T&C) records, including CAS reviews and competency assessmentsAssisting with the development and delivery of compliance training and process improvements

About you:

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

What’s on Offer

Salary: £35,000 – £40,000Discretionary performance-linked bonusEmployee-Owned business – share in the success and decision-makingHybrid workingStructured support towards Level 6 / Chartered statusClear 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.

 

 

 

INDHS 

Equals One is an advertising and recruitment agency working on behalf of our client to promote this vacancy. You may be contacted directly by the employer should they wish to progress your application. Due to the number of applications we receive, we are unable to provide specific feedback if your application is unsuccessful.