About the Company
Were working with a well-established, employee-owned financial services firm with an excellent reputation for delivering high-quality, client-focused advice. The business prides itself on creating a supportive, collaborative culture where employees are encouraged to develop and rewarded for their contributions. With a period of growth ahead, they are now seeking an experienced
Fact checker to join their expanding Compliance team. The Opportunity
This role offers far more than standard file checking. As part of the compliance function, youll carry out thorough pre- and post-sale reviews across pensions, investments, and protection, while also getting involved in wider compliance projects that influence firm-wide processes and standards. Key Responsibilities
Conduct
pre- and post-sale
file reviews to ensure FCA compliance and uphold advice quality.
Produce
clear, constructive feedback
for advisers and follow remedial actions through to completion.
Support the Head of Compliance with
risk management
activities, including policy updates, MI reporting, and audits.
Maintain
Training & Competence (T&C)
records, including CAS reviews and competency assessments.
Contribute to
compliance training
and process improvement initiatives.
Whats Required
Essential:
Level 4 Diploma in Financial Planning (or equivalent).
Proven experience in
compliance, file review, or quality assurance
within financial services (pensions/investments focus preferred).
Solid understanding of
FCA rules and advice standards .
Excellent analytical skills, attention to detail, and confident communication.
The Package
Salary:
£35,000
£40,000 + discretionary bonus.
Employee-Owned:
Benefit from a share in the companys success.
Premium Benefits: Group Income Protection (IP)
Group Private Medical Insurance (PMI)
Group Death in Service (DIS) cover
Career Development:
Support towards Level 6 / Chartered Status and progression into senior compliance roles.
Hybrid Working:
1 day WFH + flexible office location options.
Why This Role?
This is a fantastic opportunity for a detail-driven compliance professional who wants influence beyond basic file reviews. Youll gain exposure to strategic compliance work, enjoy excellent benefits, and join a forward-thinking, people-focused firm that values both accuracy and career growth.
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