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
1. Audit new business files based on adviser risk rating and manage remedial work
2. Provide pre-sale and post-induction file support to advisers ensuring regulatory compliance
3. Review marketing materials for compliance with FCA standards
4. Manage the compliance inbox and support recruitment and Training & Competence (T&C) administration
5. Prepare annual audit packs for Appointed Representatives
6. Assist with onboarding introducers and provide general compliance s...