File Reviewer - IFA Compliance

File Reviewer - Pensions, Investments, Mortgages & Protection
Location: Warrington (Office Based)
Salary: £30,000 - £35,000 p/a (depending on experience and qualifications)
Job Type: Full Time

We’re working with a well-established financial advice firm in Warrington that is looking to recruit a File Reviewer to join its compliance team. The role will primarily focus on reviewing pensions and investment business, with some exposure to mortgages and protection cases as well.

This is a great opportunity for someone with a strong understanding of financial advice compliance to play a key role in ensuring advice files meet regulatory and internal standards.

• Carrying out pre-sale and post-sale file reviews across pensions, investments, and occasionally mortgages and protection.

• Producing clear, concise reports for advisers and ensuring any remedial work is actioned promptly.

• Maintaining accurate adviser records and compliance documentation.

• Supporting Training & Competence (T&C) processes, including prompting for CAS reviews when required.

• Completing ad-hoc file reviews and assisting with broader compliance activity as directed by the compliance team.

• Ideally Level 4 qualified (e.g. Diploma in Financial Planning or equivalent), although candidates working towards Level 4 will also be considered depending on progress.

• Strong attention to detail and good knowledge of the regulatory framework around pensions, investments, and protection.

• Prior experience in a compliance, file review or quality assurance role within financial services is highly desirable.

• Excellent communication and organisational skills.

• Salary of £30,000 to £35,000 p/a depending on experience and qualifications.

• Office-based role in Warrington.

• Supportive and professional team environment with scope for developmen