Compliance File Checker

Compliance Manager - Leicester, East Midlands

Ref: 722Monday 13 June 2022

£30,000 - £35,000

We are an award winning, Independent Wealth Management business currently hiring in our Compliance department.  Our core aim is to help clients from all walks of life, as we believe that everyone deserves the opportunity to receive valuable financial advice. This means that you will be exposed to a huge array of clients and different situations to keep you engaged and on your toes.


The People

Our back-office team is made up of 13 people, all from different backgrounds so we're sure you will fit in and find a friend here!

We want you to be our new File Checker!


Role Function

Working closely with our Compliance Director, this role is a client-facing role supports our 13 Advisers on Pensions, Investments, Estate Planning and Insurance cases. Typically this post will be reviewing 2 new cases and 1 annual review per day.


The Benefits

  • Salary £35,000
  • Fully Remote Working
  • Christmas Bonus
  • Flexible Working
  • Support & Training Bonus’ in line with continued examinations and experience
  • 25 Days Annual Leave (plus Bank Holidays and increasing with service)
  • Life Assurance Policy
  • Free Onsite Parking
  • Regular Social Events


  • Level 4 Diploma
  • IFA experience



The Development Opportunities

  • Full support and training provided.
  • Bonuses and pay rises in line with continued examinations and experience.
  • Fully funded Financial Services exams (even to Chartered.)
  • Options to progress into advising, if so desired, or grow into different roles within the company.
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