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File Checker / Case Auditor

Based in London
Salary up to £30k pro rata (dependent upon experience) 
10 month FTC

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 London; we are currently looking for a File Checker / Case Auditor.
The role
Your role will be to monitor the advice given in historic cases by our Discretionary Fund Manager’s to ensure that the advice, investment reports and suitability letters issued by the business are in-line with our company standards and FCA regulations.
It is vital that the advice/products that were recommended are suitable; ensuring that any inconsistencies / issues are spotted and raised.
The role will also give you the opportunity to provide support to our Head of Advice Delivery with a range of process improvements within the department.
Skills and experience
Successful candidates are likely to demonstrate the following:

  • Good knowledge of Suitability (Minimum QCF Level 4 Diploma qualified, preferably working towards Chartered/ IMC) and at least 3-5  years working in a Discretionary/Advisory Managed environment.
  • Strong analytical capability
  • Experience of monitoring portfolio management or wealth management regulated individuals/ dealing with advisers
  • Confident and articulate with excellent written and verbal communication skills
  • Good attention to detail and sound planning prioritisation, & organisational skills

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.