Job description

  • Location:
  • Department:
    Advice Assurance Team
  • Division:
    IWI Advice Assurance
  • Employment Type:
    Full time
  • Salary:

Advice Assurance Associate (6099)

We're one of the UK's leading investment management companies, with responsibility for over £40 billion of client assets. We've worked closely with clients and their trusted advisers for many years and gained a unique understanding of the specific needs of our clients.

Investec Wealth & Investment seeks to deliver exceptional levels of customer service and has been trusted to meet the needs of private investors for almost 200 years. But our eyes are focused on your future.

Right now we're a team of over 1400 dedicated professionals located across 14 sites in the UK. We're looking to strengthen our team and need you to come on board and make a difference.

Embedded in our culture is a sense of belonging and inclusion. This creates an environment in which everyone is free to express themselves and helps drive innovation and creativity. At Investec we want everyone to find it easy to be themselves, and to feel they belong. It's a responsibility we all share and is integral to our purpose and values as an organisation.

Research shows that some candidates can be reluctant to apply to a role unless they meet all the criteria. We pride ourselves on our entrepreneurial spirit here and welcome you to do the same – if the role excites you, please don't let our person specification hold you back. Get in touch!

Advice Assurance Associate

Location: Agnostic

Team Description

The Advice Assurance team provide support, technical guidance and governance for the Wealth Advisory function (Wealth Planning and Financial Planning). 

Description of role and key responsibilities

  • Assist in conducting pre and post advice reviews of new business / advice points and timely review of ongoing business, relating to the Wealth Advisory function.
  • Assist in providing verbal and written feedback to Planners on a case by case basis, to ensure best client advice outcomes.
  • Assist in providing technical and regulatory / procedural support to the Wealth Advisory function.
  • Assisting the Advice Assurance team in ongoing record keeping, provision of management information and updates to internal procedures and client facing literature.
  • Undertaking and supporting project work.
  • Undertaking other tasks as necessary for the efficient running of the department.

Core skills and knowledge

  • Evidence of a strong team work ethic.
  • Evidence of emotional intelligence when providing support and guidance to other individuals / key stakeholders.
  • Evidence of ability to manage own workload, multi-task.

Other attributes that would be helpful, but not essential for the role

  • Previous experience writing or reviewing Financial Planning files is an advantage, but candidates with a similar skillset from other disciplines will also be welcomed to apply.
  • A knowledge of FCA legislation and best practice is an advantage.


  • Currently Level 4 CII qualified (or working towards) an advantage.  Expectation to be Level 4 qualified within 2 years of joining.


Meet the recruiter

Dawn Ermes


We commit to ensure that everyone is fairly assessed during our recruitment process.

Let us know if you need any reasonable adjustments to complete your application.

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Private Medical Cover
Virtual GP
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Psychologist Service
Annual Leave
Life Assurance