Compliance Suitability - Wealth Manager

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Compliance Suitability - Wealth Manager, London

Client: MERJE

Location: London, United Kingdom

Job Category: Other

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EU work permit required: Yes

Job Reference: 3e4985a26af7

Job Views: 11

Posted: 26.04.2025

Expiry Date: 10.06.2025

Job Description:

MERJE is delighted to partner with an established Wealth Management firm in London.

Working in a highly collaborative and successful environment, you will be part of a team providing regulated financial and investment advice to clients in the UK and across Europe. As a Business Assurance Analyst, your responsibilities include:

• Reviewing suitability reports to ensure advice complies with FCA requirements.
• Proactively contacting internal clients for further information and clarifications.
• Providing feedback to report writers and responding to follow-up inquiries.
• Offering feedback to the Training Program Manager on team development needs.
• Discussing process improvements with management.
• Attending roundtable meetings to discuss review themes and suggest improvements.
• Maintaining a strong understanding of FCA's COBS requirements for suitability.
• Reviewing personal recommendations for retail clients.
• Possessing a strong understanding of financial planning, especially pension planning.
• Communicating complex issues clearly, both in writing and face-to-face.

Excellent people skills are essential to provide professional and courteous service to internal clients.