Compliance Officer / File Checker

Job Title: Compliance Officer / File Checker

Location: Office based - Warrington (Possibility of hybrid working, depending upon experience)

Employment Type: Full-time

Salary: Competitive, dependent on experience

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.