Financial Compliance Monitor (File Reviewer)

  • Full Time
  • Cardiff


Financial Compliance Monitor (File Reviewer)

ValidPath is an FCA-regulated IFA Network operating since 2002 that supports 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, Guernsey and London.

Do you have experience or qualifications within the financial advice industry? As part of our business growth, we are looking for a Financial Compliance Monitor (File Reviewer) to join our team and help support our compliance team. Joining Rimbal ValidPath means you will be joining a robust (private-equity backed) and growing company and working with a diverse, supportive and highly experienced team at a Top 100 (FT Adviser) financial services firm in the UK.

The Opportunity

This is a fantastic opportunity to join a dynamic and growing financial services 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 Compliance Director with a focus on compliance monitoring and file reviews. You will have the chance to grow your skills and experience and be supported with all the necessary training to thrive in the role.

The Duties

  • Undertaking ‘File Reviews’ of client files according to established criteria
  • Undertaking pre-sale checks on client business and documentation
  • Managing feedback of reviews to financial advisers via centralised system
  • Undertaking checks of client-facing content (e.g. websites) according to guidance
  • Undertaking compliance monitoring according to established framework
  • Reporting to management results from file review and compliance checks
  • Dealing with ad hoc Member queries and providing compliance support
  • Performing ad hoc compliance monitoring and tasks as required

The Person

To be considered for this role you should have:

  • Relevant Diploma qualification in Financial Planning (RQF 4, RQF 6)
  • Minimum of two years experience within advice sector or similar role
  • Strong technical skills in financial planning, investments and mortgages
  • Strong communication skills with comfort via telephone or video conference
  • Strong written skills with the ability to craft suitable emails to senior executives
  • Strong working knowledge of Microsoft Office and remote working systems (Teams, Zoom)
  • Ability to learn new software solutions

To be considered by Rimbal ValidPath you should have:

  • University Degree, Diploma, Certificate or other relevant qualification
  • Can do attitude with a strong work ethic and ability to get things done
  • Ability to work both independently/remotely and also as part of a collaborative team
  • Strong interpersonal skills and alignment with our culture

As part of Rimbal ValidPath you will benefit from the opportunity to participate in the benefits programme and to work remotely.

Please note that we will contact relevant candidates only and conduct standard checks on any candidates offered a role.

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