Compliance Associate - File Review

Compliance Associate (File Review)Flexible Hybrid Working Available

A well-established financial services firm is looking to appoint a Compliance Associate to support its growing compliance function. This role would suit someone Level 4 qualified (or working towards it) who is looking to move into compliance and file review, or an experienced professional seeking a more balanced role within a supportive environment.

Working closely with the Compliance Manager, you will play a key role in ensuring regulatory standards are maintained across the business by conducting file reviews, supporting advisers, and assisting with wider compliance activities.

Key Responsibilities

• Conduct file reviews across investment, pension, mortgage, and protection business
• Audit new business submission files based on adviser risk ratings and produce review reports
• Ensure any remedial actions are completed within agreed timeframes
• Provide pre-submission support to advisers and assist with pre-sale file checks
• Maintain adviser records and track remedial actions following audits
• Review marketing materials to ensure they are fair, clear and not misleading
• Monitor the Compliance inbox and respond or allocate queries where appropriate
• Assist with recruitment administration and onboarding processes
• Support the administration of the Training & Competence (T&C) scheme
• Help prepare annual audit packs for Appointed Representative firms
• Assist with the onboarding of introducers
• Provide compliance guidance and support to advisers and AR firms on day-to-day queries

Candidate Profile

• Ideally Level 4 qualified or working towards the qualification
• Experience within financial services (advice, paraplanning, administration or compliance)
• Strong attention to detail and ability to assess regulatory documentation
• Good communication skills with the ability to provide constructive feedback
• Interest in developing a career within compliance and regulatory oversight

Applicants must be located and eligible to work in the UK without sponsorship. Please note, should feedback not be received within 28 days, unfortunately your application has been unsuccessful. In applying for this role, you may be registered on our database so we can contact you about suitable opportunities in future. Your data will be managed in accordance with our Privacy Policy, which can be found on our website.

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