QC Auditor: Client Suitability & Compliance

Rathbone Brothers; Liverpool; Hybrid; GBP 32,000 - 46,000; Full time

Benefits offered by this job

Company pension

Private medical

Life assurance

Company share scheme

Discretionary bonus

Flexible holidays

Green Car Scheme

Family leave policies

Study support

Travel ticket loans

Job summary

Rathbones, UK wealth management leader, seeks a QC Reviewer in Liverpool. You will join the Quality Control team to verify that client records and recommendations meet FCA requirements and Rathbones guidance, ensuring the suitability of advice across the client lifecycle.

Working pattern is hybrid with 1x permanent role and 1x 12-month FTC. The role emphasises detailed documentation, clear justification of suitability, and collaboration with the Front Office to raise file quality and compliance.

Qualifications

• High attention to detail required.
• Good written and numerical skills.
• Strong IT literacy and ability to navigate new systems.
• Able to communicate effectively.
• Ability to provide written feedback to colleagues.
• Good understanding of the UK Regulatory Framework.
• Knowledge of Suitability requirements.
• Good understanding of Client Vulnerability.
• Good understanding of tax wrappers (ISA, GIAs, SIPPs).
• Awareness of Rathbones’ responsible investment approach.

Responsibilities

• Understand how client records evidence suitability and assess whether advice is suitable for clients.
• Ensure YIM/Client file provides enough justification of suitability of recommendations.
• Engage with colleagues to raise file standards and report findings.
• Provide technically appropriate answers to Front Office queries.
• Provide challenge to Front Office on suitability judgments when appropriate.
• Follow up on past feedback to ensure actions are taken.
• Escalate issues detected in file reviews, such as potential conduct risk.
• Provide support and training in respect of Suitability to Front Office and other parts of Rathbones.

Skills

High attention to detail

Strong written skills

Numerical skills

IT literacy

Clear communication

UK regulatory knowledge

Suitability requirements

Client vulnerability

Tax wrappers awareness

Tools

Front Office systems

Job description

Rathbones, UK wealth management leader, seeks a QC Reviewer in Liverpool. You will join the Quality Control team to verify that client records and recommendations meet FCA requirements and Rathbones guidance, ensuring the suitability of advice across the client lifecycle.

Working pattern is hybrid with 1x permanent role and 1x 12-month FTC. The role emphasises detailed documentation, clear justification of suitability, and collaboration with the Front Office to raise file quality and compliance.