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- 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: Starting salary of £40,000, performance bonuses, and hybrid working options.
- Why this job: Accelerate your career in compliance with structured support towards Chartered status.
- Qualifications: Level 4 Diploma in Financial Planning and experience in compliance or quality assurance.
- Other info: Clear progression opportunities into senior compliance roles.
The predicted salary is between 40000 - 56000 £ 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: Starting from £40,000 per annum + discretionary bonuses
Job Type: Full Time, Permanent
Overview
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
About you
- 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
What’s on Offer
- Salary: Starting from £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 Burnley employer: Tribal
Contact Detail:
Tribal Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land File Reviewer - IFA Compliance in Burnley
✨Tip Number 1
Network like a pro! Reach out to current employees or connections in the industry. A friendly chat can give you insider info about the company culture and maybe even a referral.
✨Tip Number 2
Prepare for the interview by brushing up on FCA compliance and financial advice standards. Show us you know your stuff, and don’t forget to have examples ready that highlight your analytical skills and attention to detail.
✨Tip Number 3
Practice your feedback delivery! As a File Reviewer, you'll need to provide clear and constructive feedback. Role-play with a friend or record yourself to refine your communication style.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets seen. Plus, we love seeing candidates who take the initiative to connect directly with us.
We think you need these skills to ace File Reviewer - IFA Compliance in Burnley
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the skills and experience mentioned in the job description. Highlight your Level 4 Diploma in Financial Planning and any relevant compliance experience to catch our eye!
Craft a Compelling Cover Letter: Use your cover letter to tell us why you’re the perfect fit for the File Reviewer role. Share specific examples of your analytical skills and how you've maintained FCA compliance in previous roles.
Showcase Your Communication Skills: As a key part of the role involves providing feedback, make sure your application demonstrates your ability to communicate clearly and constructively. We love seeing candidates who can articulate their thoughts well!
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 don’t miss out on any important updates from us!
How to prepare for a job interview at Tribal
✨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. Highlight how your attention to detail helped improve processes or outcomes, as this is crucial for the role.
✨Practice Constructive Feedback
Since you'll be providing feedback to advisers, practice delivering it in a clear and constructive manner. Think of scenarios where you had to give tough feedback and how you approached it. This will demonstrate your communication skills and ability to support others.
✨Engage with the Company Culture
Research the company’s values and culture, especially their focus on collaboration and compliance excellence. Be ready to discuss how you can contribute to this environment and why it matters to you. Showing that you align with their mission can set you apart.
