Investment Suitability Monitoring – Wealth Management

CLARC Recruitment; City of Edinburgh; On-site; GBP 50,000 - 70,000; Full time

Job summary

A leading recruitment agency is seeking a Risk & Controls Analyst for a prominent Wealth & Asset Management business in Edinburgh. This role focuses on compliance monitoring with an emphasis on FCA Suitability requirements. Candidates with a background in Risk & Controls or Compliance Monitoring are encouraged to apply. Strong communication skills and knowledge of regulatory frameworks are essential. Join a dynamic team with opportunities for professional growth and development in the sector.

Qualifications

• Background in Risk & Controls or Compliance Monitoring is essential.
• Candidates should possess strong knowledge of FCA Suitability requirements within a wealth management context.
• Good assurance skills and experience in monitoring compliance or risk management.

Responsibilities

• Join a Front Office focused Risk & Control team.
• Provide knowledge and support regarding FCA Suitability requirements.
• Monitor compliance with risk management standards.

Skills

Strong knowledge of FCA Suitability requirements

Monitoring & assurance skills

Compliance or risk management

Knowledge of Jersey (JFSC) and US (SEC) rules

Excellent communication skills

Job description

A large Wealth & Asset Management business are looking for a Risk & Controls Analyst to join their Front Office focused Risk & Control team. Candidates should have a background in Risk & Controls or Compliance Monitoring.

The firm will consider candidates looking to move from 2LOD to 1LOD.

Duties & Experience required include :

• Strong knowledge of FCA Suitability requirements within a wealth management business.
• Good monitoring & assurance skills, compliance or risk management.
• Knowledge of Jersey (JFSC) and US (SEC) rules, preferable.
• Excellent communication skills, both written and oral.

Unless otherwise stated, candidates must have the right to work in the UK.

The CLARC Guarantee – we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.