Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Conduct file reviews and support compliance projects to ensure high standards.
- Company: Join an employee-owned business that values collaboration and compliance excellence.
- Benefits: Competitive salary, performance bonuses, hybrid working, and career progression.
- Why this job: Accelerate your career in compliance while making a real impact on the business.
- Qualifications: Level 4 Diploma in Financial Planning and experience in compliance or quality assurance.
- Other info: Structured support towards Level 6 / Chartered status and clear progression opportunities.
The predicted salary is between 30000 - 40000 £ per year.
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 for 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:- 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 & Competence (T&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: £35,000 – £40,000
- 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.
File Reviewer - IFA Compliance in Chorley employer: Equals One Ltd
Contact Detail:
Equals One Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land File Reviewer - IFA Compliance in Chorley
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector and let them know you're on the lookout for a File Reviewer role. You never know who might have the inside scoop on opportunities or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on FCA rules and compliance standards. Make sure you can discuss how your experience aligns with the responsibilities of the role, especially around file reviews and providing feedback. Confidence is key!
✨Tip Number 3
Showcase your analytical skills! During interviews, be ready to share examples of how you've tackled compliance challenges in the past. Highlight your attention to detail and how it has positively impacted your previous roles.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who take that extra step to engage with us directly.
We think you need these skills to ace File Reviewer - IFA Compliance in Chorley
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the File Reviewer role. Highlight your experience in compliance and file reviews, and don’t forget to mention your Level 4 Diploma in Financial Planning. We want to see how your skills match what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how you can contribute to our team. Be sure to mention any specific projects or experiences that relate to the responsibilities listed in the job description.
Show Off Your Attention to Detail: As a File Reviewer, attention to detail is key. In your application, provide examples of how you've demonstrated this skill in previous roles. Whether it's through file reviews or compliance audits, we want to see your analytical side!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team at StudySmarter!
How to prepare for a job interview at Equals One Ltd
✨Know Your Compliance Stuff
Make sure you brush up on FCA rules and financial advice standards, especially around pensions and investments. Being able to discuss these confidently will show that you're not just familiar with the basics but are ready to dive into the nitty-gritty of compliance.
✨Showcase Your Analytical Skills
Prepare examples from your past experience where your analytical skills made a difference in file reviews or compliance projects. Be ready to explain how you approached complex issues and what the outcomes were. This will highlight your attention to detail and problem-solving abilities.
✨Practice Constructive Feedback
Since you'll be providing feedback to advisers, practice how you deliver constructive criticism. Think of scenarios where you had to give tough feedback and how you did it effectively. This will demonstrate your communication skills and ability to maintain professional relationships.
✨Engage with the Company Culture
Research the company’s values and culture before the interview. Be prepared to discuss how you align with their commitment to compliance excellence and collaboration. Showing that you’re a good fit for their team can set you apart from other candidates.
