Assistant Compliance Manager Monitoring and Assurance

Job Location	Shelley, Ipswich
Education	Not Mentioned
Salary	Competitive salary
Industry	Not Mentioned
Functional Area	Not Mentioned
Job Type	Permanent, full-time

Job Description

Our Monitoring & Assurance team help keep SPW safe and ensure we are delivering the very best advice to our clients. They are responsible for reviewing advice delivered by our Personal Wealth Advisers and ensuring it meets the high standards we set ourselves.You will be part of a close-knit and passionate team who take pride in ensuring we are delivering the very best advice to our clients. You will also support and coach advisers to develop their technical capabilities. We are looking for client focused, enthusiastic and technically capable individuals who want to support advisers to deliver more high-quality advice to more clients.Key responsibilities will include:

Outcome testing of advice cases

Pre-presentation review of advice cases

Helping produce MI to identify key trends and communicate these to stakeholders across SPW

Maintaining data and records to support good governance and data capture

Helping to coach advisers to develop their advice capabilities

Engaging and working with the broader Compliance and Risk teams.

Key Capabilities, Knowledge Areas & Personal Attributes

Previous experience of providing regulated financial advice or outcome testing

Highly inquisitive, able to work and communicate with a diverse range of people and skill sets

Be an excellent team player

IT literate

Attention to detail

Strong interpersonal skills

Proactive, pragmatic and enthusiastic approach

Target driven

Strong multitasking capabilities

Strong communication skills

Qualifications

Level 4 (Financial Planning) Qualification

Bachelor Degree, desirable

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