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 Andoversford office; we are currently looking for an Advice Quality Assessor to provide support to the Advice Quality Team Leader with team projects and promoting best practice across the Advice Quality Teams.
To monitor and support the quality of advice given by Sanlam Partnerships Ltd’s (SPL’s) members’ advisers and Sanlam Wealth Planning’s (SWP’s) Wealth Planners to demonstrate adherence with the principles and rules of the FCA, promoting TCF in ensuring that advice delivers fair outcome for customers.
Undertaking compliance audit work, including regular and ad hoc reviews of client files, suitability letters and investment reports. Providing MI regarding the compliance monitoring function and highlight trends and concerns.
Skills and experience
Full financial diploma qualified (ideally Chartered Status or working towards)
AF7 (or equivalent qualification) is essential.
Compliance / file checking experience
Up to date knowledge of relevant regulatory updates
Good decision making skills
Good written and verbal communication skills
If you think you are our sort of person, please email firstname.lastname@example.org