Front Office Risk & Control Lead (Wealth Management)

LGT Wealth Management UK LLP; Greater London; On-site; GBP 70,000 - 110,000; Full time

Job summary

LGT Wealth Management UK LLP is a UK‑based partnership and part of the LGT group. The Head Office is in London with a presence in multiple cities.

The firm focuses on bespoke wealth management services for clients, with a culture of integrity and client‑centric delivery. We are seeking a seasoned professional to lead risk‑based monitoring of Front Office advisory activity, coordinate investigations, and drive remedial actions while mentoring Investment Managers and Wealth Planners.

Qualifications

• Significant experience in a retail discretionary or advisory investment environment.
• Strong working knowledge of FCA suitability and Conduct of Business requirements.
• Experience supervising, coaching and quality‑assuring others’ work.
• Experience assessing regulated staff competence, including observing client meetings and documenting findings.
• Ability to analyse monitoring data and write clear, evidence‑based reports.
• Degree educated with a relevant investment, financial planning, risk or compliance qualification.

Responsibilities

• Plan and coordinate risk‑based monitoring for Front Office advice‑based activity within approved framework.
• Balance scheduled work with urgent requests and emerging risks, and allocate work to Officers.
• Review complex or high‑risk discretionary/advisory cases with collaborative support from Compliance.
• Produce MI and KPIs covering monitoring results and client outcomes, and recommend changes.

Skills

Risk monitoring

Line management

Data analysis

Regulatory compliance

Stakeholder management

Report writing

Suitability evaluation

Education

Relevant degree

Job description

LGT Wealth Management UK LLP is a UK‑based partnership and part of the LGT group. The Head Office is in London with a presence in multiple cities.

The firm focuses on bespoke wealth management services for clients, with a culture of integrity and client‑centric delivery. We are seeking a seasoned professional to lead risk‑based monitoring of Front Office advisory activity, coordinate investigations, and drive remedial actions while mentoring Investment Managers and Wealth Planners.