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

ZipRecruiter; London; On-site; GBP 40,000 - 60,000; Full time

Job summary

A leading Investment Management firm seeks a Quality Assurance Analyst to join their Risk & Control Team in London. The role involves ensuring compliance with regulatory standards, supporting monitoring processes, and providing training. Candidates should have 2-3 years of relevant experience, strong knowledge of FCA requirements, and excellent interpersonal skills.

Qualifications

• 2-3 years experience in Quality Control/Business Assurance.
• Experience in discretionary/advisory investment management environment.
• Strong knowledge of investment management and financial planning.

Responsibilities

• Support monitoring processes ensuring adherence to compliance standards.
• Review client files and support Investment Suitability matters.
• Coordinate Suitability training for Wealth Management teams.

Skills

Interpersonal skills

Knowledge of FCA Suitability requirements

Understanding of client investment needs

Education

Compliance qualification

Job description

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 that positive client outcomes are being achieved, and that investment portfolios are being correctly managed in line with Compliance regulatory standards and internal policies.

The Quality Assurance Analyst will support the upkeep of the Front Office Compliance Risk & Control team’s monitoring processes to ensure adherence with key regulatory requirements and internal policies, procedures, group standards.

The Quality Assurance Analyst will support the production and ongoing development of effective Front Office MI / KPIs to monitor ongoing competence and to demonstrate that the right client outcomes are being achieved. Reviewing Client Files - knowledge of KYC and Client Onboarding.

Support the resolution of any breaches of Investment Management client mandates and support production of periodic reports to Boards and Committees as required.

The Quality Assurance Analyst will act as a key contact for first line Investment Suitability matters and will share best practice with teams within the Front Office and the wider business, including Risk & Compliance.

The Quality Assurance Analyst will support the delivery of key Front Office Risk & Control initiatives.

The Quality Assurance Analyst will coordinate and provide Suitability related training for the Wealth Management company.

The Candidate

2-3 years experience within Quality Control / Business Assurance / Quality Assurance / Front Office Risk / Front Office Control - 1st or 2nd line of defence.

Knowledge of COBBS - Suitability Rules.

Investment management / Wealth Management / Financial Planning business background.

A compliance qualification.

Strong knowledge and application of FCA Suitability requirements

Experience of working in a discretionary or advisory investment management environment with a focus on Retail investors.

Understanding of Wealth Planning products.

Awareness of the current financial services environment and relevant industry or professional Compliance qualification.

Investment focused - good understanding of client investment needs; a working knowledge multi asset classes.

Strong interpersonal skills to work with the Front Office and teamwork

Self-confident and able to influence effectively / Self-motivated.