Front Office Risk & Controls Lead

LGT Crestone Wealth Management Limited; Greater London; On-site; GBP 70,000 - 100,000; Full time

Benefits offered by this job

Competitive pension

Career development

Job summary

LGT Wealth Management UK LLP is recruiting for a role focused on risk-based monitoring of Front Office activities within a regulated wealth management environment. You will allocate work, review high-risk cases, coach staff and coordinate with Compliance to ensure ongoing competence and adherence to FCA requirements.

The role involves producing management information, reporting to senior management, and driving improvements in monitoring processes and data quality.

Qualifications

• Significant experience in a retail discretionary or advisory investment environment.
• Strong working knowledge of FCA suitability and Conduct of Business requirements.
• Experience reviewing complex cases and supervisory/feedback responsibilities.
• Experience supervising, coaching and quality-assuring others’ work.
• Experience assessing regulated staff competence and observing client meetings.

Responsibilities

• Plan and coordinate risk-based monitoring for Front Office activity within approved framework.
• Allocate work to Officers and provide direction, QA and coaching.
• Review complex or high-risk discretionary/advisory cases with compliance support.
• Assess findings and remedial actions; track progress within delegated authority.
• Coordinate investigations into suitability issues and escalate material matters promptly.
• Produce MI and KPIs; recommend changes based on evidence.
• Draft suitability analyses for senior management and Board reporting.
• Provide practical guidance to Investment Managers and Wealth Planners without directing client decisions.
• Work with Risk & Compliance on remedial actions and training programs.
• Conduct and quality-assure staff competence assessments; document findings and escalate concerns.
• Improve monitoring methods and data quality within framework.

Skills

Discretionary investment

Advisory experience

Coaching / supervision

Data analysis

Regulatory knowledge

FCA suitability knowledge

Stakeholder management

Client-focused

Attention to detail

Strong communication

Education

Degree in finance or related field

Investment or compliance qualification

Job description

LGT Wealth Management UK LLP is recruiting for a role focused on risk-based monitoring of Front Office activities within a regulated wealth management environment. You will allocate work, review high-risk cases, coach staff and coordinate with Compliance to ensure ongoing competence and adherence to FCA requirements.

The role involves producing management information, reporting to senior management, and driving improvements in monitoring processes and data quality.