Compliance Officer – File Review

Prestige Recruitment Group; Warrington; On-site; GBP 30,000 - 35,000; Full time

Job summary

A leading financial services firm is seeking a Compliance Officer to ensure adherence to FCA standards. Responsibilities include reviewing adviser files, producing audit reports, and providing support to advisers. The ideal candidate should have compliance experience and strong organizational skills. This role offers competitive salary and benefits in a collaborative environment.

Benefits

Competitive salary

Benefits package

Supportive work culture

Qualifications

• Experience in compliance, file review, or auditing within financial services.
• Strong knowledge of FCA rules and regulatory standards.
• Proven ability to communicate with advisers and stakeholders.

Responsibilities

• Review adviser files across investments, pensions, mortgages, and protection.
• Produce audit reports and ensure remedial actions are completed.
• Guide and support advisers in maintaining compliance.

Skills

Detail-oriented

Organizational skills

Effective communication

Solutions-focused

Education

Level 4 Diploma in Financial Planning

Job description

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!