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Financial Compliance Coordinator (File Reviewer)

Job LocationCardiff
EducationNot Mentioned
Salary£24,000 - £30,000 per annum, negotiable
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

ValidPath is an FCA-regulated IFA Network operating since 2002 that serves a network of Independent Financial Advisers (IFAs) and IFA businesses across the UK. We support our IFA Members with the essential infrastructure and back-office services they require so they can deliver best-in-class independent financial advice to tens of thousands of clients across the UK. ValidPath is part of the Rimbal group, a financial services and technology group with offices in Cardiff and London.Do you have experience within the IFA, compliance or financial advisory industry As part of our business growth, we are looking for a Financial Compliance Coordinator to join our team and help to support our vision to power the future of independent financial advice.Joining ValidPath means you will be working with an experienced team at a highly respected and Top 100 (FT Adviser) financial advisory firm in the UK. We have a strong culture and commitment to our core values of independent financial advice and supporting our members and their financial advisers, mortgage brokers, paraplanning and support staff. We strive for a professional and supportive working environment where our team collaborates and shares their knowledge to deliver an unrivalled service for our Members.The OpportunityThis is a fantastic opportunity to join a robust and growing financial advisory group that is at the forefront of technological innovation and the future of financial advice. You will be a key member of the compliance team working closely with and reporting into the Financial Advice and Compliance Director with a focus on compliance checks and file reviews. You have the chance to grow your skills and experience and be supported with all the necessary training and guidance to thrive in the role.The Duties

  • Undertaking File Reviews’ of client files according to established criteria and guidance
  • Undertaking pre-sale checks on client business for certain products and financial advisers
  • Undertaking checks of client-facing content (e.g. websites) according to in-house guidance
  • Managing feedback of reviews to financial advisers via centralised system
  • Reporting to management results from file review and compliance checks
  • Performing ad hoc compliance checks as required
  • Performing ad hoc operational support of compliance matters
  • The Person To be considered it would be ideal if you have:
  • A minimum of 3 years industry experience in a compliance, technical or paraplanning role
  • Strong attention to detail and ability to follow prescribed processes to achieve outcomes
  • Relevant industry qualification, Certificate, Diploma or University Degree
  • Can do attitude with willingness to get stuck in (autonomously if required)
  • Strong interpersonal and communication skills
  • Strong working knowledge of Excel, Word and remote working systems (Teams, Zoom)
  • Ability to learn new software solutions
  • Please note:
  • Cardiff is preferable, however, you can work remotely within the UK
  • We will conduct standard checks on any candidates offered a role
  • If you apply for the role, please know that we may not respond if you are unsuccessful
  • Required skills
  • Compliance
  • Compliance Monitoring
  • File Review
  • Highly Detailed
  • Operational Support
  • Keyskills :
    Compliance Compliance Moniting File Review Highly Detailed Operational Suppt

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