Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Review client files for compliance and assist in developing policies.
- Company: Join a trusted Chartered Financial Planning Firm with a strong reputation.
- Benefits: Enjoy competitive salary, hybrid work options, and professional development support.
- Why this job: Be part of a dedicated team ensuring high standards and ethical practices.
- Qualifications: Experience in compliance within financial services and strong attention to detail required.
- Other info: Opportunities for career progression and access to industry experts.
The predicted salary is between 25000 - 29000 £ per year.
A well-established and trusted Chartered Financial Planning Firm, that prides itself on delivering high-quality, bespoke financial advice to individuals and businesses. Its commitment to professionalism, client care, and ethical practices has helped it build a strong reputation in the financial services industry. It is now looking for a Compliance Officer / File Checker to join its dedicated team to ensure that all processes are fully compliant and in line with regulatory requirements.
As a Compliance Officer / File Checker, you will be responsible for conducting thorough file reviews to ensure all client files meet the required regulatory, compliance, and internal standards. You’ll work closely with our advisory and operational teams to identify potential areas for improvement and ensure a smooth and compliant workflow for the business. This role is key to maintaining our high standards of client care and adherence to financial regulations.
Key Responsibilities:- Review client files, ensuring all documents are complete, accurate, and compliant with FCA regulations and internal procedures.
- Conduct pre- and post-advice file checks to ensure suitability, risk management, and quality standards are met.
- Ensure all client files are documented correctly for audit and regulatory purposes.
- Identify and escalate any compliance concerns, ensuring timely resolution.
- Assist in the development and implementation of compliance policies and procedures.
- Monitor and keep up to date with regulatory changes to ensure the business remains compliant.
- Provide support and guidance to the advisory team on compliance-related matters.
- Collaborate with other departments to implement improvements to compliance systems and processes.
- Previous experience as a Compliance Officer, Compliance Administrator, or similar role within financial services (preferably in a Chartered or IFA environment).
- Solid understanding of FCA regulations, financial planning processes, and industry standards.
- Excellent attention to detail with the ability to identify and resolve compliance issues.
- Strong organisational skills and the ability to manage multiple tasks simultaneously.
- Ability to communicate effectively with different teams and stakeholders.
- Proficient in using financial planning software and MS Office (Word, Excel, Outlook).
- A proactive, self-motivated individual who can work independently and as part of a team.
What’s on Offer:
- Office based (Hybrid available based on experience).
- Competitive salary with benefits package.
- Professional development and study support (including funding for relevant qualifications).
- A supportive and professional work environment with opportunities for career progression.
- Access to a strong network of experts within a well-respected firm.
Contact Detail:
D&R Recruitment Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer
✨Tip Number 1
Familiarise yourself with FCA regulations and compliance standards specific to the financial services industry. This knowledge will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 2
Network with professionals already working in compliance roles within financial services. Attend industry events or join relevant online forums to gain insights and potentially get referrals.
✨Tip Number 3
Prepare to discuss real-life scenarios where you've identified compliance issues or improved processes. This practical experience can set you apart from other candidates during the interview.
✨Tip Number 4
Showcase your attention to detail by preparing questions about their current compliance processes during the interview. This demonstrates your proactive approach and genuine interest in the role.
We think you need these skills to ace Compliance Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance and financial services. Emphasise your understanding of FCA regulations and any previous roles that involved file checking or compliance administration.
Craft a Strong Cover Letter: Write a cover letter that specifically addresses the key responsibilities of the Compliance Officer role. Mention your attention to detail, organisational skills, and how you can contribute to maintaining high standards of client care.
Showcase Relevant Skills: In your application, clearly outline your proficiency with financial planning software and MS Office. Provide examples of how you've successfully managed compliance tasks in previous roles.
Highlight Continuous Learning: Mention any relevant qualifications or ongoing professional development related to compliance and financial services. This shows your commitment to staying updated with regulatory changes and improving your skills.
How to prepare for a job interview at D&R Recruitment Limited
✨Know Your Regulations
Familiarise yourself with FCA regulations and compliance standards relevant to the role. Being able to discuss these confidently will show your understanding of the industry and its requirements.
✨Demonstrate Attention to Detail
Prepare examples from your past experience where your attention to detail made a significant impact. This is crucial for a Compliance Officer, so be ready to highlight how you ensure accuracy in your work.
✨Showcase Your Communication Skills
As a Compliance Officer, you'll need to liaise with various teams. Be prepared to discuss how you've effectively communicated compliance issues or improvements in previous roles, showcasing your ability to collaborate.
✨Ask Insightful Questions
Prepare thoughtful questions about the company's compliance processes and challenges they face. This not only shows your interest in the role but also your proactive approach to understanding their needs.
