To provide branch based guidance and training on client suitability requirements of the firm’s client records. To monitor file quality and consistency of portfolio selections for discretionary clients.

• Provide branch based guidance and training on firm’s file suitability requirements
• Monitor the quality of branch filing and ensure these meets our suitability standards and report on any shortcomings.
• Assist in the design and communication of model file requirements, and encourage branches to follow this methodology
• Review discretionary client portfolio composition against the firm’s model portfolio guidance to monitor consistency of selections and report to senior management on any portfolios outside of the firm’s preferred parameters.
• Compile Management information statistics on client suitability of files, for reporting to senior management.
• Assist in ad hoc compliance monitoring reviews.
• Provide a proactive advisory service to all areas of the firm on regulatory matters.
• Participate in any of the ongoing projects of the Department as required.
• Assist, and deputise for the Compliance Monitoring Executive as required.
• Attend weekly compliance team meetings in Ipswich

• Managing Relationships and Client Focus
• Teamworking
• Influencing
• Resilience
• Decision Making
• Gathering and Analysing information, and Commercial Awareness
• Quality Control
• Generating and Building on Ideas
• Personal Development
• Planning and Organising

• Educated to degree level standard or equivalent
• The successful candidate should have significant financial services experience, preferably in a ‘know your client’ or compliance monitoring role.
• An interest in Compliance and an understanding of the UK Financial Services Regulatory Environment.

In addition candidates should:
• Have the ability to communicate orally and in writing in a clear, concise and persuasive manner.
• Be self motivated and committed to ‘getting the job done’
• Be flexible in their approach to work, adapting to changing demands and conditions