IFA Compliance Officer
JOB_53652254758824Job type
PermanentLocation
LancashireWorking Pattern
Flexible Working,Full-timeSpecialism
Financial Services OperationsIndustry
Banking & Financial ServicesPay
To £55,000 + benefits
IFA Compliance Officer/File Reviewer: To £55,000 + benefits: Lancashire
Your new company
Your new role
Key responsibilities include conducting file reviews across pensions, investments and protection, ensuring FCA compliance and high-quality advice is delivered to clients at all times, working closely with advisers and providing constructive feedback, guidance and training where required. In addition to being hands-on and involved with file reviews, you will also be involved with broader compliance projects and have the opportunity to shape compliance processes and compliance training going forward.
What you'll need to succeed
What you'll get in return
What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion about your career.
Due to continued growth, an excellent job opportunity has arisen within a well-established, progressive firm of IFAs for a Compliance Officer/File Reviewer. The company has a highly inclusive and supportive working culture and flexible working options.
Your new role
Key responsibilities include conducting file reviews across pensions, investments and protection, ensuring FCA compliance and high-quality advice is delivered to clients at all times, working closely with advisers and providing constructive feedback, guidance and training where required. In addition to being hands-on and involved with file reviews, you will also be involved with broader compliance projects and have the opportunity to shape compliance processes and compliance training going forward.
What you'll need to succeed
Essential to come from an IFA background and to be minimum Level 4 Diploma qualified, have strong technical knowledge of Financial Planning, particularly in the areas of pensions, investments and protection. The role also requires excellent communication skills and the ability to develop strong working relationships with the firm's advisers.
As well as someone with compliance/file review experience, this role could be well-suited to a financial adviser or paraplanner seeking to utilise skills and experience.
As well as someone with compliance/file review experience, this role could be well-suited to a financial adviser or paraplanner seeking to utilise skills and experience.
What you'll get in return
In addition to a highly competitive salary and remuneration package, this role offers an excellent opportunity to grow in a firm where your contributions will directly shape its success. Flexible working options. Excellent long-term prospects.
What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion about your career.
IFA Compliance OfficerJOB_536522547588242026-01-062026-04-07
Talk to Linda Leon, the specialist consultant managing this position
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JOB_53652254758824