Job Details


Compliance Officer

Ref: RP6053 Salary: £30,000 to 50,000 Contract Type: PermanentLocation: Warrington

Skill Set

Compliance, File Checker, Compliance Officer, Financial Planning

A highly successful and award winning chartered financial planning practice is looking for a Compliance Officer / File Checker to join its team.

Reporting to the Compliance Director, the role holder will be instrumental in developing, implementing, and monitoring effective compliance frameworks and policies across the company.

A highly competitive package is on offer with a comprehensive benefits package. Negotiable. Happy to discuss upon application; based on level of seniority and experience


Compliance Officer:

  • Support the Compliance Director to develop and implement comprehensive compliance policies and procedures throughout the organisation such as T&C, advice framework, scanning, etc.
  • Complete thorough file checks of advice cases to ensure adherence to both internal standards and regulatory requirements, providing constructive feedback relating to areas of improvement.
  • Conduct regular audits and risk assessments to identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolutions.
  • Provide advice and guidance on the interpretation of regulatory requirements and their implications for business operations.
  • Keep abreast of, interpret, and communicate changes in FCA regulations to relevant departments, ensuring that all policies and procedures are updated accordingly.
  • Conduct compliance training sessions for employees to ensure company-wide awareness and understanding of compliance policies and regulatory requirements.
  • Manage and report on the handling of complaints in accordance with FCA guidelines, ensuring effective resolutions.
  • Support the Compliance Director in their capacity as the main point of contact with the FCA and other regulatory bodies, managing all communications and reporting requirements.
  • Act as liaison and maintain effective relationships with external third-party compliance support services.
  • Foster a compliance culture within the organisation and contribute to strategic planning from a regulatory perspective.


The successful Compliance Officer will have:

  • Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification, or working towards this.
  • Proven experience as a Compliance Officer or similar role within an FCA regulated financial advice business.
  • Thorough understanding of FCA regulatory frameworks and compliance requirements.


Consultant Details

For further information on this opportunity please contact:

Robert Pender

Tel: 01303 220844


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