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- Tasks: Review adviser files and ensure compliance with FCA standards.
- Company: Fast-growing financial services firm with a dynamic team.
- Benefits: Competitive salary, benefits package, and exposure to diverse compliance areas.
- Why this job: Join a supportive culture where your contributions truly matter.
- Qualifications: Experience in compliance or auditing; Level 4 Diploma in Financial Planning preferred.
- Other info: Great opportunity for career growth and development.
The predicted salary is between 30000 - 35000 £ per year.
Compliance Officer – File Review
Location: Warrington, Cheshire
Salary: £30,000 – £35,000 + Benefits
Looking to take your compliance career to the next level?
Our client, a fast-growing and highly regarded financial services firm, is on the hunt for a Compliance Officer (File Review) to join their dynamic team. If you’ve got an eye for detail, a passion for doing things right, and the confidence to support advisers in meeting FCA standards, this could be your perfect move.
What you’ll be doing:
No two days are the same – you’ll get involved in a wide range of compliance work, including:
- Reviewing adviser files across investments, pensions, mortgages, and protection.
- Producing audit reports and making sure remedial actions are completed quickly.
- Giving advisers the guidance and support they need to stay compliant.
- Keeping adviser compliance records up to date and accurate.
- Checking marketing materials to ensure they’re fair, clear, and not misleading.
- Owning the compliance inbox – handling queries and supporting projects.
- Getting involved in T&C administration, recruitment processes, audit packs, and more.
This is a role where you’ll get broad exposure, not just file reviews – you’ll be a key player in keeping the business running smoothly and compliantly.
What we’re looking for:
- Experience in compliance, file review, or auditing within financial services.
- Ideally, passed the Level 4 Diploma in Financial Planning or working towards the qualification.
- If you’re a Financial Advisor and looking to move away from advising, please apply.
- Good knowledge of FCA rules and regulatory standards.
- Strong organisational skills and razor-sharp attention to detail.
- Confident communicator who can work with advisers and stakeholders.
- Proactive, solutions-focused, and ready to take ownership.
What’s in it for you?
- A competitive salary + benefits package.
- Exposure to a wide range of compliance areas.
- A collaborative, supportive culture where your contribution matters.
Ready to step up? Apply now and take the next big step in your compliance career!
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Compliance Officer – File Review employer: Prestige Recruitment Group
Contact Detail:
Prestige Recruitment Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer – File Review
✨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 compliance roles. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and compliance best practices. We recommend doing mock interviews with friends or using online resources to get comfortable discussing your experience and how it relates to the role.
✨Tip Number 3
Showcase your attention to detail during interviews. Bring examples of how you've successfully managed compliance tasks in the past, like reviewing adviser files or producing audit reports. This will demonstrate your fit for the Compliance Officer role.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we love seeing candidates who take that extra step to connect with us directly.
We think you need these skills to ace Compliance Officer – File Review
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Officer role. Highlight your experience in compliance, file review, or auditing within financial services. 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 support advisers in meeting FCA standards. Let us know what makes you the perfect fit for our team.
Show Off Your Attention to Detail: Since this role requires razor-sharp attention to detail, make sure your application is free from typos and errors. We appreciate candidates who take the time to present their best work right from the start!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Prestige Recruitment Group
✨Know Your Compliance Stuff
Make sure you brush up on FCA rules and regulatory standards before the interview. Being able to discuss these confidently will show that you're serious about the role and understand what it takes to keep advisers compliant.
✨Showcase Your Attention to Detail
Prepare examples from your past experience where your attention to detail made a difference. Whether it was reviewing files or producing audit reports, having specific instances ready will demonstrate your capability in this area.
✨Communicate Clearly
As a Compliance Officer, you'll need to communicate effectively with advisers and stakeholders. Practice articulating your thoughts clearly and concisely, perhaps even role-playing common scenarios you might face in the job.
✨Be Proactive and Solutions-Focused
Think of times when you've taken ownership of a problem and found a solution. This role requires a proactive mindset, so be ready to share how you've tackled challenges in the past and how you can bring that approach to the team.