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- Tasks: Conduct file reviews and ensure compliance with FCA regulations.
- Company: Respected financial planning firm focused on quality advice and client care.
- Benefits: £40,000 salary, bonus scheme, and 1 day WFH.
- Why this job: Make a real impact in compliance while developing your career.
- Qualifications: Level 4 Diploma in Financial Planning and experience in compliance.
- Other info: Join a supportive team with opportunities for professional growth.
The predicted salary is between 24000 - 48000 £ per year.
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.
Key Responsibilities- 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.
Compliance Officer in Chorley employer: Prestige Recruitment Group
Contact Detail:
Prestige Recruitment Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer in Chorley
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector, especially those who are already in compliance roles. A friendly chat can lead to insider info about job openings or even referrals.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and compliance standards. We recommend creating a cheat sheet of key topics to discuss, so you can confidently showcase your expertise during the interview.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, send a quick thank-you email to express your appreciation. It keeps you fresh in their minds and shows your enthusiasm for the role.
✨Tip Number 4
Apply through our website for the best chance at landing that Compliance Officer role! We make it easy for you to showcase your skills and experience directly to the hiring team.
We think you need these skills to ace Compliance Officer in Chorley
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your Level 4 Diploma and relevant experience in compliance. We want to see how your skills match the job description, so don’t be shy about showcasing your expertise in file reviews and FCA regulations!
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. We love seeing candidates who can connect their personal values with our company culture.
Showcase Your Analytical Skills: Since attention to detail is key for this role, make sure to highlight any specific examples where your analytical skills made a difference. Whether it’s through past projects or experiences, we want to see how you’ve tackled challenges head-on!
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 us you’re keen on joining our team!
How to prepare for a job interview at Prestige Recruitment Group
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of FCA regulations and financial advice standards. Being able to discuss these confidently will show that you're not just qualified, but genuinely passionate about compliance.
✨Prepare for File Review Scenarios
Think about specific examples from your past experience where you've conducted file reviews or provided feedback. Be ready to discuss how you ensured compliance and what the outcomes were. This will demonstrate your hands-on experience and analytical skills.
✨Showcase Your Attention to Detail
During the interview, highlight instances where your attention to detail made a difference in your work. Whether it was catching a compliance issue or improving a process, this will resonate well with the hiring team looking for someone meticulous.
✨Ask Insightful Questions
Prepare some thoughtful questions about the company's compliance culture and their approach to training and development. This shows that you're not only interested in the role but also in how you can contribute to and grow within the organisation.