File Review - Recruit UK : Job Details

Job Role: File Review

Location: Kendal Office (remote 3 days a week)

Salary: £40,000 -£50,000

Reference: 9827

Are you an experienced compliance professional with a background in financial planning?

This is a fantastic opportunity to join a growing Chartered financial planning group in a newly created compliance role. You’ll work closely with the Head of Compliance to ensure the business and its network of partner firms deliver advice that is fully compliant, client-focused, and in line with FCA requirements.

This position will give you exposure across all areas of compliance, from file reviews and technical support for advisers through to complaints handling, redress calculations, policy updates, and MI reporting. It’s a varied and rewarding role where you’ll play a key part in upholding high standards and driving good outcomes for clients.

Key Responsibilities:

• Carry out reviews and monitoring of advice provided by Financial Planners, Appointed Representatives, and partner firms, offering technical support where needed
• Ensure compliance records are maintained accurately and report any issues or breaches identified
• Work with the Head of Compliance to make sure the firm operates in line with FCA regulations and wider legislation
• Assist with reviewing, updating, and embedding compliance policies and processes across the business
• Contribute to the collection, analysis, and reporting of Management Information to senior stakeholders
• Monitor adherence to the FCA Handbook, Conduct Rules, and Consumer Duty requirements, ensuring the business consistently delivers good customer outcomes

What’s on offer:

• £40,000 - £50,000
• Pension scheme (3% employer contribution), private medical insurance & death in service cover
• 25 days holiday + your birthday off + bank holiday
• Cycle to work scheme
• Opportunities for continuous professional growth and development
• Work closely with a Chartered firm at the heart of a wider wealth management group

About you:

• 3–5 years’ experience in financial services compliance or as a Financial Planner
• Diploma in Financial Planning (R01–R05 or equivalent) or compliance qualifications desirable
• Excellent attention to detail and ability to meet deadlines
• Strong organisational skills and confident IT ability
• A proactive problem solver with strong communication skills

This role is predominantely remote but ideally office-based twice a week, with occasional travel to partner firms required.

If you’re ready to take on a varied compliance role with strong progression opportunities, apply today or get in touch to learn more.

Keywords: Compliance Officer, Compliance Manager, Compliance Assistant, Compliance Reviewer, File Review Officer, Compliance Consultant, Compliance Administrator