Quality Control: Suitability Reviewer

Rathbones Group Plc; Liverpool; Hybrid; GBP 30,000 - 45,000; Full time

Benefits offered by this job

Company pension

Private medical insurance

Life assurance

Income protection

Company share scheme

Discretionary bonus

Flexible holidays

Green Car Scheme

Family friendly policies

Study support

Season travel ticket loans

Volunteering days

Gym discounts

Job summary

Rathbones Group Plc in Liverpool seeks a QC Reviewer to help ensure client suitability and compliance with FCA guidelines. You will assess client records, justify recommendations, and collaborate across teams to meet standards.

The role blends Front Office collaboration with rigorous file reviews, requires strong regulatory knowledge, and offers a comprehensive benefits package. Hybrid working supports work-life balance and professional growth.

Qualifications

• Strong attention to detail in documentation and reviews.
• Clear written and numerical communication within regulatory context.
• Good IT literacy and ability to learn new systems quickly.
• Ability to provide concise written feedback to colleagues.
• Solid understanding of the UK regulatory framework and suitability.

Responsibilities

• Understand how client records evidence suitability and assess advice accordingly.
• Perform YIM/Client Outcome Reviews and document findings.
• Ensure files justify suitability of recommendations for future challenge.
• Collaborate with colleagues to raise files to required standards.
• Provide technically accurate answers to Front Office queries.
• Challenge Front Office on suitability judgements when appropriate.
• Follow up on past feedback and complete required actions.
• Escalate issues detected in file reviews, including potential conduct risk.
• Support and train on suitability across the Front Office and Rathbones.

Skills

Attention to detail

Written & numerical skills

IT literacy

Effective communication

Written feedback

Regulatory knowledge

Suitability principles

Client vulnerability awareness

Knowledge of tax wrappers

Responsible investing awareness

Job description

Rathbones Group Plc in Liverpool seeks a QC Reviewer to help ensure client suitability and compliance with FCA guidelines. You will assess client records, justify recommendations, and collaborate across teams to meet standards.

The role blends Front Office collaboration with rigorous file reviews, requires strong regulatory knowledge, and offers a comprehensive benefits package. Hybrid working supports work-life balance and professional growth.