Role overview
To deliver high quality file reviews, regulatory support and guidance to directly authorised firms.
To assist other areas of Paradigm as required.
To promote Paradigm as the premier provider of regulatory support services in all dealings with existing and prospective partner firms.
To act as a positive ambassador for Paradigm at all times.
Responsibilities
Undertake client file reviews covering all aspects of business written by Partner Firms. Typical work will include:
Monitoring
* Review client files in line with Paradigm procedures.
* Construct a professional and clear report on each file identifying areas where the firm can improve their regulatory behaviour;
* Provide feedback to the firm directly regarding the findings of the review
* Build rapport with field based Paradigm Consultants and Paradigm Relationship Managers in order to forge good communication links and help provide a bespoke service.
Other duties
* Provide training to firms on file review procedures and outcomes;
* Develop and evolve internal systems and processes for file review;
* Provide support to the Consultancy Manager as required.
* Assist other areas of Consultancy (Policy, Technical Helpdesk) as required.
Attend and positively contribute to regular team meetings;
Contribute to Paradigm member publications
Maintain up-to-date CPD records demonstrating that skills and knowledge required to do the job are
being maintained and enhanced;
Complete all other duties reasonable expected by Paradigm; and
Complete all Paradigm documentation (expenses, reports etc) as prescribed within the Staff Handbook.
Skills required
Attention to detail;
Excellent standard of written & verbal communication;
Ability to empathise and build strong business relationships with Paradigm firms;
Ability to manage own time, workload and ensure that all contractual obligations are met with firms
Ability to self motivate in self learning and the recording of CPD.
Qualifications/knowledge/experience
Essential
* Diploma in Financial Planning (or equivalent level 4 qualification)
* Level 3 Mortgage qualification (e.g. CF6)
* Sound knowledge of UK regulatory framework
Preferred/Aspiration
* Advanced Diploma in Financial Services (or equivalent)
Experience
Ideally 3 years minimum financial services industry experience, of whihc 2 years should involve regulatory experience.
Personal Qualities
Essential characteristics
* Professional and positive attitude
* Strong interpersonal skills
* Strong organisational skills and efficiency
* Pro-active in their approach to Paradigm and partner firm work
* Commercially-minded
Preferred/aspirational characteristics
* Presentation skills
* Project management skills