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- Tasks: Review files and ensure compliance while contributing to exciting projects.
- Company: Join a dynamic, employee-owned business that values collaboration and excellence.
- Benefits: Starting salary of £40,000, bonuses, hybrid work, and support for career progression.
- Why this job: Accelerate your career in compliance with real impact on the business.
- Qualifications: Level 4 Diploma in Financial Planning and experience in compliance or quality assurance.
- Other info: Great opportunities for growth into senior compliance roles.
The predicted salary is between 32000 - 48000 £ 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
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 include:
- 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 employer: Tribal
Contact Detail:
Tribal Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land File Reviewer - IFA Compliance
✨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. We recommend creating a cheat sheet of key points to discuss, especially how your experience aligns with the responsibilities mentioned in the job description.
✨Tip Number 3
Showcase your analytical skills! During interviews, be ready to share examples of how you've conducted file reviews and provided actionable feedback. This will demonstrate your attention to detail and ability to contribute to compliance excellence.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we’re all about supporting our candidates, so you’ll be in good hands with us.
We think you need these skills to ace File Reviewer - IFA Compliance
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 key responsibilities listed in the job description.
Showcase Your Analytical Skills: Since this role requires strong analytical abilities, make sure to provide examples of how you've used these skills in past roles. Whether it’s through conducting file reviews or managing compliance projects, we want to see your thought process in action!
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 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 genuinely invested in compliance excellence.
✨Showcase Your Analytical Skills
Prepare examples from your past experience where your analytical skills made a difference. Whether it was conducting file reviews or tracking remedial actions, having specific instances ready will demonstrate your attention to detail and problem-solving abilities.
✨Practice Constructive Feedback
Since providing clear and actionable feedback is key in this role, think of ways you've done this before. Practise articulating your thoughts clearly and constructively, as this will be crucial during the interview when discussing how you would support advisers.
✨Engage with the Company Culture
Research the company’s values and their approach to compliance. Be ready to discuss how you can contribute to their collaborative environment and how their focus on employee development aligns with your career goals. This shows you’re not just looking for a job, but a place to grow.
