Front Office Risk & Controls Leader

Lgtwm; Greater London; Hybrid; GBP 75.000 - 110.000; Vollzeit

Zusammenfassung

LGT Wealth Management UK LLP is seeking a Front Office Risk and Control Manager to lead suitability monitoring for advisory activity in London and Edinburgh. You will plan risk-based monitoring, allocate work, review complex cases, and ensure remedial actions are tracked and completed.

The role requires strong knowledge of FCA rules, experience supervising teams, and the ability to produce clear MI and senior management reporting.

Qualifikationen

• Significant experience in a retail discretionary or advisory investment environment.
• Strong working knowledge of FCA suitability and Conduct of Business requirements for discretionary, advisory and wealth planning activities.
• Experience reviewing complex cases, assessing potential client harm and identifying proportionate remedial action.
• Experience supervising, coaching and quality-assuring others’ work, including formal line-management experience.
• Experience assessing regulated staff competence, including observing client meetings and documenting findings.
• Ability to analyse monitoring data and write clear, evidence-based reports.
• Degree education with investment, risk or compliance qualifications.

Aufgaben

• Plan and coordinate risk-based monitoring for Front Office activity, within the framework and monitoring plan approved by the Head.
• Allocate work to Officers and provide technical direction, quality assurance, feedback, coaching and line management.
• Personally review complex or higher-risk discretionary, advisory and wealth planning cases with collaborative support from other areas where required.
• Assess individual findings and recurring themes for potential client harm and control weaknesses; track remedial actions.
• Coordinate investigations into potential suitability issues and breaches of client mandates; escalate material matters promptly.
• Produce and analyse MI and KPIs covering monitoring results, competence indicators, adherence to requirements and client outcomes.
• Draft suitability analysis and updates for senior management and reporting for the Head’s review.
• Provide practical guidance to Investment Managers and other Front Office colleagues without directing client advice.
• Work with Risk & Compliance on remedial actions and training and competence arrangements.
• Conduct and quality-assure assessments of regulated staff competence; document findings and escalate concerns.
• Improve monitoring methods, data quality and day-to-day processes within the framework set by the Head.

Kenntnisse

Suitability monitoring

FCA rules

Team leadership

Regulatory reporting

Client risk assessment

Analytical skills

Ausbildung

Degree educated

Investment risk qualification

Jobbeschreibung

LGT Wealth Management UK LLP is seeking a Front Office Risk and Control Manager to lead suitability monitoring for advisory activity in London and Edinburgh. You will plan risk-based monitoring, allocate work, review complex cases, and ensure remedial actions are tracked and completed.

The role requires strong knowledge of FCA rules, experience supervising teams, and the ability to produce clear MI and senior management reporting.