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Compliance Associate - File Review
Job Posted: 12 hours ago
Salary: £ 30,000 - 35,000 / Annum
Job Type: Permanent
Location: Warrington, Cheshire
Expire in: a month
Job Description
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
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