Compliance Associate - File Review
£30000 - £35000/annum
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.
£35,000