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Permanent

Compliance Associate - File Review

Warrington
money-bag £30000 - £35000/annum
Posted 6 days ago

Compliance Associate - File Review

Location: Warrington, WA1 (Onsite / Hybrid - 2 days remote)
Salary: -30,000 - -35,000 per annum (dependent on experience and qualification)
Hours: Monday to Friday, 9:00am - 5:00pm-

About the Role

We are recruiting on behalf of a well-established financial services firm for a Compliance Associate to support file reviews across investment, pension, mortgage, and protection business. Reporting to the Compliance Manager, you will audit new business submissions, provide pre-submission support to advisers, and ensure remedial actions are completed efficiently.

This role offers development opportunities for candidates with a Level 4 Investment qualification (or nearing completion) and a chance to work within a supportive compliance team with flexible hybrid working.

Key Responsibilities

  • Audit new business files based on adviser risk rating and manage remedial work
  • Provide pre-sale and post-induction file support to advisers ensuring regulatory compliance
  • Review marketing materials for compliance with FCA standards
  • Manage the compliance inbox and support recruitment and Training & Competence (T&C) administration
  • Prepare annual audit packs for Appointed Representatives
  • Assist with onboarding introducers and provide general compliance support

Candidate Profile

  • Level 4 Investment qualification achieved or near completion
  • Strong attention to detail and organisational skills
  • Effective communicator, both written and verbal
  • Ability to manage multiple priorities independently and within a team

Why Apply?

  • Competitive salary with professional development support
  • Flexible hybrid working arrangement
  • Comprehensive benefits including pension and death in service
  • Convenient location with onsite parking and close to public transport

Benefits:

  • 8% employer pension contribution
  • 2x death in service benefit
  • Free onsite parking
  • Walking distance from Warrington train station
  • Full training and mentoring provided

Apply now for immediate consideration.

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