Front Office Risk and Control Officer

LGT Group; London; On-site; GBP 55,000 - 75,000; Full time

Job summary

A leading investment management firm in London seeks a Front Office Risk and Control Officer to manage monitoring processes and ensure adherence to regulatory requirements. Candidates should have a degree level education and experience in investment management focused on Retail investors. Excellent interpersonal skills and a client-centric approach are essential. This role offers competitive benefits and opportunities for professional growth.

Qualifications

• Experience in a discretionary or advisory investment management environment focused on Retail investors.
• Awareness of the current financial services environment.
• Investment-focused with a solid understanding of client investment needs and instruments.

Responsibilities

• Support design and upkeep of monitoring processes for regulatory adherence.
• Produce and develop effective MI / KPIs for ongoing competence monitoring.
• Coordinate and provide Suitability-related training as agreed.

Skills

Strong knowledge of FCA Suitability requirements

Client-centric approach

Strong interpersonal skills

Attention to detail and accuracy

Negotiation and influencing skills

Education

Educated to degree level or equivalent

Relevant industry or professional compliance qualification

Job description

Front Office Risk and Control Officer, London

Client: LGT Group

Location: London, United Kingdom

Job Category: Other

EU work permit required: Yes

Job Reference: a91a18aeb4d9

Job Views: 4

Posted: 12.08.2025

Job Description:

Responsibilities:

• Support the design and upkeep of the Team's monitoring processes to ensure adherence with key regulatory requirements and internal policies, procedures, group standards.
• Support the production and ongoing development of effective MI / KPIs (at business, team, and individual level) to monitor ongoing competence, adherence to policies and procedures, and to demonstrate that the right client outcomes are being achieved.
• Support the resolution of any breaches of client mandates.
• Support production of periodic reports to Boards and committees as required.
• Support Front Office staff and key stakeholders across the business, acting as a key contact for first-line Suitability matters.
• Foster strong collaboration and share best practices within the Front Office and the wider business, including Risk & Compliance.
• Support the delivery of key Front Office Risk & Control initiatives, focusing on efficiency, data utilization, and automation where appropriate.
• Coordinate and provide Suitability-related training as agreed.

Requirements:

Key Skills and Technical Requirements:

• Educated to degree level or equivalent professional experience.
• Experience in a discretionary or advisory investment management environment, focused on Retail investors.
• Awareness of the current financial services environment.
• Relevant industry or professional compliance qualification.

Other Skills and Attributes:

• Strong knowledge of FCA Suitability requirements and FCA conduct of business rules related to discretionary portfolio management and wealth planning services.
• Awareness of relevant rules and guidance of the JFSC and SEC.
• Client-centric approach.
• Investment-focused with a solid understanding of client investment needs and instruments such as equities, fixed income, and cash.
• Strong interpersonal, teamwork, presentation, and communication skills.
• Negotiation and influencing skills, capable of constructively challenging Investment Managers / Wealth Planners.
• Attention to detail and accuracy.
• Self-confident, self-motivated, and able to influence effectively.

Contact Information:

We look forward to receiving your online application. For further information, please contact us.

LGT Wealth Management UK LLP
Human Resources
Alex Johnson Job ID JR6646