Compliance Officer

JR United Kingdom; Warrington; Hybrid; GBP 30,000 - 35,000; Full time

Job summary

A well-established Chartered Financial Planning Firm seeks a Compliance Officer / File Checker in Warrington. The role involves ensuring compliance with regulatory standards by reviewing client files and collaborating with various teams. The position offers a competitive salary, benefits, and opportunities for professional development.

Benefits

Professional development and study support

Supportive work environment

Career progression opportunities

Access to expert network

Qualifications

• Experience as a Compliance Officer or similar role in financial services.
• Solid understanding of FCA regulations and financial planning processes.
• Proactive and self-motivated individual.

Responsibilities

• Conduct thorough file reviews for compliance with regulations.
• Identify and escalate compliance issues promptly.
• Monitor regulatory changes to maintain business compliance.

Skills

Attention to detail

Organizational skills

Communication

Tools

MS Office

Financial planning software

Job description

Social network you want to login/join with:

Compliance Officer, warrington, cheshire

col-narrow-left

Client:

D&R Recruitment Limited

Location:

Job Category:

Other

-

EU work permit required:

Yes

col-narrow-right

Job Views:

3

Posted:

31.05.2025

Expiry Date:

15.07.2025

col-wide

Job Description:

Job Title: Compliance Officer / File Checker

Location: Office based - Warrington

Employment Type: Full-time

Salary: Competitive, dependent on experience £30,000 to £35,000, comprehensive benefits

Overview:

A well-established and trusted Chartered Financial Planning Firm, that prides itself on delivering high-quality, bespoke financial advice to individuals and businesses. Its commitment to professionalism, client care, and ethical practices has helped it build a strong reputation in the financial services industry.

It is now looking for a Compliance Officer / File Checker to join its dedicated team to ensure that all processes are fully compliant and in line with regulatory requirements.

Compliance / File Checker Role Overview:

As a Compliance Officer / File Checker, you will be responsible for conducting thorough file reviews to ensure all client files meet the required regulatory, compliance, and internal standards. You’ll work closely with our advisory and operational teams to identify potential areas for improvement and ensure a smooth and compliant workflow for the business. This role is key to maintaining our high standards of client care and adherence to financial regulations.

Compliance / File Checker Key Responsibilities:

• Review client files, ensuring all documents are complete, accurate, and compliant with FCA regulations and internal procedures.
• Conduct pre- and post-advice file checks to ensure suitability, risk management, and quality standards are met.
• Ensure all client files are documented correctly for audit and regulatory purposes.
• Identify and escalate any compliance concerns, ensuring timely resolution.
• Assist in the development and implementation of compliance policies and procedures.
• Monitor and keep up to date with regulatory changes to ensure the business remains compliant.
• Provide support and guidance to the advisory team on compliance-related matters.
• Collaborate with other departments to implement improvements to compliance systems and processes.

Compliance / File Checker Requirements:

• Previous experience as a Compliance Officer, Compliance Administrator, or similar role within financial services (preferably in a Chartered or IFA environment).
• Solid understanding of FCA regulations, financial planning processes, and industry standards.
• Excellent attention to detail with the ability to identify and resolve compliance issues.
• Strong organisational skills and the ability to manage multiple tasks simultaneously.
• Ability to communicate effectively with different teams and stakeholders.
• Proficient in using financial planning software and MS Office (Word, Excel, Outlook).
• A proactive, self-motivated individual who can work independently and as part of a team.

What’s on Offer:

• Office based (Hybrid available based on experience)
• Competitive salary with benefits package.
• Professional development and study support (including funding for relevant qualifications).
• A supportive and professional work environment with opportunities for career progression.
• Access to a strong network of experts within a well-respected firm.