Cummins Mellor Recruitment

About the Company We're working with a well-established, employee-owned financial services firm with an excellent reputation for delivering high-quality, client-focused advice. The business prides itself on creating a supportive, collaborative culture where employees are encouraged to develop and rewarded for their contributions. With a period of growth ahead, they are now seeking an experienced Fact checker to join their expanding Compliance team. The Opportunity This role offers far more than standard file checking. As part of the compliance function, you'll carry out thorough pre- and post-sale reviews across pensions, investments, and protection, while also getting involved in wider compliance projects that influence firm-wide processes and standards. Key Responsibilities Conduct pre- and post-sale file reviews to ensure FCA compliance and uphold advice quality. Produce clear, constructive feedback for advisers and follow remedial actions through to completion. Support the Head of Compliance with risk management activities, including policy updates, MI reporting, and audits. Maintain Training & Competence (T&C) records, including CAS reviews and competency assessments. Contribute to compliance training and process improvement initiatives. What's Required Essential: Level 4 Diploma in Financial Planning (or equivalent). Proven experience in compliance, file review, or quality assurance within financial services (pensions/investments focus preferred). Solid understanding of FCA rules and advice standards . Excellent analytical skills, attention to detail, and confident communication. The Package Salary: £35,000 - £40,000 + discretionary bonus. Employee-Owned: Benefit from a share in the company's success. Premium Benefits: Group Income Protection (IP) Group Private Medical Insurance (PMI) Group Death in Service (DIS) cover Career Development: Support towards Level 6 / Chartered Status and progression into senior compliance roles. Hybrid Working: 1 day WFH + flexible office location options. Why This Role? This is a fantastic opportunity for a detail-driven compliance professional who wants influence beyond basic file reviews. You'll gain exposure to strategic compliance work, enjoy excellent benefits, and join a forward-thinking, people-focused firm that values both accuracy and career growth.