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 a diverse range of 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 Bristol office; we are currently looking for an Advice Quality Assessor to join our Advice Quality team.
Your role will be to monitor the advice given by our Wealth Planners to ensure that the advice 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 are to be recommended are suitable; ensuring that any inconsistencies/ issues are spotted and raised. Once a case has progressed; you will be responsible for assessing and grading the quality of the file and providing effective and concise feedback in a timely manner.
The role will also give you the opportunity to provide support to our Head of Advice with a range of process improvements within the department.
Skills and experience
The successful candidate may demonstrate the following:
- QCF Level 4 qualified (preferably working towards Chartered/ IMC)
- AF3 pension transfer qualified (or equivalent)
- Strong knowledge of Suitability
- Extensive experience working within a Financial Planning environment
- Background in File Checking, Paraplanning, Compliance or Wealth Planning
- Up to date knowledge of relevant regulatory updates
- Strong analytical capability
- Strong decision-making skills
- Ethical, principled, logical, analytical and diligent
- Ability to influence
- Well organised, self-motivated and proactive
- Good communication skills, both written and verbal
If you think you are our sort of person, please email firstname.lastname@example.org