Compliance / File Checker

Company : Confidential

Remote / Work from Home

Job Description - Compliance / File Checker

Compliance Administrator – File Review
Location: Warrington (Office-based preferred, hybrid considered)
Salary: £35,000
Start Date: ASAP
Job Type: Full-time, Permanent
Hours: Monday to Friday, 9:00 am – 5:00 pm
Are you a detail-oriented compliance professional with a strong understanding of financial services? We are looking for a Compliance Administrator to join a growing compliance team and support the delivery of high-quality, compliant financial advice across investments, pensions, mortgages, and protection business.

Key Responsibilities: File Review:

Conduct audits of new business submission files across investment, pension, mortgage, and protection areas.
Risk-rate adviser submissions, produce reports, and ensure timely completion of remedial work.
Provide pre-submission file support and post-induction file reviews to ensure regulatory and internal compliance standards are met.
Maintain accurate records and track the completion of remedial actions.

Additional Compliance Support:

Review and approve marketing materials to ensure they are fair, clear, and not misleading.
Monitor the compliance inbox, triaging and allocating queries as appropriate.
Assist with recruitment processes and onboarding of introducers.
Support administration of the firm’s T&C (Training & Competence) scheme.
Help prepare annual audit packs for Appointed Representative firms.
Provide general compliance support to advisers and ARs, assisting with queries and projects.

What’s On Offer:

Competitive salary of £35,000
20 days holiday plus bank holidays
Non-contributory pension (8% of salary) after 3 months
Private Medical Insurance (optional)
2x Death in Service benefit after 3 months

Ideal Candidate:

Previous experience in a compliance role, ideally with exposure to file review across multiple financial advice areas
Strong organisational skills and attention to detail
Comfortable working in an office environment (hybrid considered for the right candidate)
Proactive, professional, and able to work autonomously

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Compliance / File Checker

Job Description - Compliance / File Checker

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