Quality Assurance Analyst , Investment Suitability , Client Reviews , Wealth Planning & Investments

JR United Kingdom; City Of London; On-site; GBP 40,000 - 60,000; Full time

Job summary

A leading investment management firm in London is seeking a Quality Assurance Analyst to support compliance and client outcomes. The role involves monitoring investment portfolios, adhering to regulatory standards, and collaborating with the Front Office. Ideal candidates will have 2-3 years of experience in quality control, knowledge of FCA suitability requirements, and strong interpersonal skills.

Qualifications

• 2-3 years experience in Quality Control or Front Office Risk.
• Knowledge of Suitability Rules and Investment Management.
• Strong understanding of FCA Suitability requirements.

Responsibilities

• Monitor compliance with regulatory standards and internal policies.
• Support resolution of Investment Management client mandate breaches.
• Produce reports for Boards and Committees.

Skills

Quality Control

Business Assurance

Risk Management

Interpersonal Skills

Client Investment Knowledge

Education

Relevant Professional Qualifications

Job description

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Quality Assurance Analyst, Investment Suitability, Client Reviews, Wealth Planning & Investments, London (City of London)

Client: JJ SEARCH LTD

Location: London (City of London), United Kingdom

Job Category: Other

EU work permit required: Yes

Job Views: 5

Posted: 26.06.2025

Expiry Date: 10.08.2025

Job Description:

The Client

Our client is a highly successful Investment Management firm.

The Role

The Quality Assurance Analyst will sit within the Risk & Control Team and will help ensure positive client outcomes and correct management of investment portfolios in line with Compliance regulatory standards and internal policies.

The Analyst will support the monitoring processes of the Front Office Compliance Risk & Control team to ensure adherence to regulatory requirements and internal policies.

They will assist in producing and developing effective Front Office MI / KPIs to monitor competence and demonstrate achievement of the right client outcomes, including reviewing Client Files with knowledge of KYC and Client Onboarding.

The role involves supporting the resolution of breaches of Investment Management client mandates and producing periodic reports for Boards and Committees.

The Analyst will act as a key contact for first-line Investment Suitability matters, sharing best practices within the Front Office and wider business, including Risk & Compliance.

Supporting the delivery of Front Office Risk & Control initiatives and coordinating suitability-related training for the Wealth Management company are also key responsibilities.

The Candidate

Requires 2-3 years experience in Quality Control, Business Assurance, Front Office Risk, or Front Office Control (1st or 2nd line of defence).

Knowledge of COBBS - Suitability Rules, and a background in Investment Management / Wealth Management / Financial Planning.

Strong understanding and application of FCA Suitability requirements, with experience in discretionary or advisory investment management focused on Retail investors.

Understanding of Wealth Planning products and awareness of current financial services industry standards or relevant professional qualifications.

Investment-focused with good knowledge of client investment needs and multi-asset classes.

Excellent interpersonal skills for collaboration with the Front Office, self-confidence, influence, and motivation are essential.