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Careers

Compliance Monitoring Assistant

Salary c. £25-£30K (dependent upon experience) 

Based in Bristol
Ref: SAN241

Background
 
Sanlam UK is a leading provider of wealth and investment management services to private clients, professional advisers, charities, corporates and institutions. Combined, we manage almost £9 billion of client assets from 13 offices across the UK, employing c.500 professionals.
 
We are part of Sanlam, the global AA-rated financial services group that was established in 1918. The Group provides a range of financial products and services to over 10 million clients globally and is listed on the Johannesburg Stock Exchange. We have attained our size, strength and reputation by providing a high quality, personalised service to clients, whatever their stage of life or financial ambitions.           
                                                                                     
Based in our offices in Bristol; we are currently looking for a Compliance Monitoring Assistant.
 
The role
 
Your role will be to support the Compliance Monitoring Manager in delivering a consistent, risk based compliance monitoring service to the Sanlam UK businesses and to undertake compliance monitoring activities and reviews.
 
Success in this role will be measured through your ability to assist the Compliance Monitoring Manager to ensure reviews are undertaken and completed in accordance with the Compliance Monitoring Programme; ensure management actions identified in compliance monitoring reviews are tracked; and to assist in ensuring that adequate and appropriate MI on compliance monitoring activities is produced. 
 
Skills and experience
 
Successful candidates are likely to demonstrate the following:
 

  • Excellent written and verbal communication skills

  • Strong interpersonal skills

  • Report writing including the analysis and interpretation of regulatory rules and guidance

  • Strong appreciation of Compliance and Conduct Risk and how these are embedded within a business.

  • Strong appreciation of regulatory rules and associated guidance, the approach of the Financial Ombudsman Service and EU Directives/Regulations affecting the financial services industry.

  • Ethical, principled, analytical and diligent.

  • Well organised, self-motivated and proactive.

  • Professional Compliance/Regulatory qualification e.g. ICA Advanced Certificate in Compliance is desirable

 If you think you're our sort of person, please email resourcing@sanlam.co.uk with your details

Investing involves risk and the value of investments and the income from them may fall as well as rise and are not guaranteed. Investors may not get back the original amount invested.