Investment Risk Senior Reviewer

Rathbones Group Plc; Liverpool; Hybrid; GBP 50,000 - 70,000; Full time

Job summary

A leading financial services firm is seeking an Investment Risk Senior Reviewer in Liverpool. The role involves ensuring portfolio suitability compliance, conducting reviews, and providing team mentorship. Ideal candidates will have a strong grasp of the UK regulatory framework and relevant professional qualifications. This position offers a hybrid working model, combining both remote and on-site work. Join a firm that values career development and progression.

Qualifications

• Good understanding of the UK Regulatory framework (FCA / JFSC).
• Numerically accurate with a good attention to detail.
• Able to provide training and support to other colleagues.
• Previous experience of regulatory review work is required.

Responsibilities

• Conduct check-the-checker reviews and provide expert guidance.
• Support the front office with portfolio suitability queries.
• Ensure timely follow-up on feedback and track outstanding actions.
• Produce MI regarding the tracking of completed reviews.

Skills

Understanding of UK Regulatory framework (FCA / JFSC)

Knowledge of suitability requirements

Effective communication

Attention to detail

Relationship building

Education

Professional Qualifications relating to Investment Management or Financial Planning (CII / CISI Level 4 or above)

Job description

Company description :

A rewarding place to work. At Rathbones, We invest in everyone's tomorrow that includes our people. We are always looking for future talent, and we can help you build a rewarding career with clear paths to progression and the opportunity to share in the success of our business.

Job description

Role Title : Investment Risk Senior Reviewer

Division : RIM - Specialist Support

Location : Liverpool

Contract : Permanent

Working pattern : Hybrid

About the Role

The Investment Risk team is part of Rathbones' first line of defence, providing oversight of portfolio suitability. The team carries out regular checks, including APRs, MiFID II reviews, complaint investigations, performance monitoring, and due diligence assessments. The purpose of this role is to conduce reviews but also support the Reporting & Portfolio Oversight Manager with check-the-checker reviews and the escalation of issues to line supervision / training and competence.

What you’ll be responsible for

Where deviations occur between the client's portfolio and their agreed mandate, Investment Management teams document the reason and remediation plan. The Investment Risk team reviews documented exceptions to confirm accuracy, feasibility, and client awareness.

Support the front office & investment risk team with portfolio suitability queries, training and technical assistance.

Provide expert guidance and mentorship to Investment Risk Reviewers, supporting their development and ensuring consistency and accuracy in reviews.

Act as escalation point for referred reviews, delivering robust solutions and recommendations to IMs / supervisors and / or T&C

Ensure timely and effective follow‑up on feedback and remedial actions, track outstanding actions and report progress to senior management.

Day‑to‑day duties

• Complete check‑the‑checker reviews
• Organisation & participation in training sessions with Ims
• Production of MI with regards to the tracking of completed reviews (against team targets) and progress of outstanding actions
• Quantity and quality of reviews completed
• Consistency of team reviews
• Quality of team feedback given to front office teams
• Keep up to date regarding regulatory and internal guidance and / or developments
• Maintain appropriate records to evidence decisions and to produce relevant / accurate MI
• Ability to challenge the existing checking processes and drive continuous improvements

About you

• Good understanding of the UK Regulatory framework (FCA / JFSC)
• Knowledge of suitability requirements
• Have previous experience of regulatory review work
• Numerically accurate
• A good attention to detail
• Able to communicate effectively and quickly establish credibility with employees at all levels of the organisation
• Building and maintain relationships with key contacts
• Be able to provide training and support to other colleagues across the business
• Professional Qualifications relating to Investment Management or Financial Planning (CII / CISI Level 4 or above)
• Previously undertaken file reviews where regulatory issues have been assessed
• Provided feedback and training to colleagues

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