RBC Brewin Dolphin – Regulated Wealth Advice, Quality Assurance Analyst

Brewin Dolphin Holdings PLC; London; On-site; GBP 30,000 - 60,000; Full time

Job summary

An established industry player is seeking a Quality Assurance Analyst to support its Governance Oversight Team. This role involves conducting quality assurance reviews, performing risk analysis, and collaborating with various teams to enhance financial planning processes. The ideal candidate will possess a diploma in Regulated Financial Planning and have proven experience in the Wealth Advice sector. Join a dynamic and progressive team that values your development and offers flexible working options. This is a fantastic opportunity to make a meaningful impact in the financial services industry and help clients thrive.

Benefits

Flexible working options

Coaching and development opportunities

Collaborative team environment

Opportunities to work with industry leaders

Qualifications

• Experience in Wealth Advice/Regulated Financial Services is essential.
• Strong analytical and problem-solving skills required.

Responsibilities

• Conduct quality assurance reviews of financial planning.
• Perform root cause analysis and monitor key business metrics.
• Collaborate with various teams on monitoring and governance.

Skills

Analytical Skills

Problem-Solving Skills

MS Excel

MS PowerPoint

Application Testing

IT Quality Assurance

Predictive Analytics

Programming Languages

Test Automation

Detail-Oriented

Education

Diploma in Regulated Financial Planning

Advanced Financial Planning Certification

Job description

RBC Brewin Dolphin – Regulated Wealth Advice, Quality Assurance Analyst

4 days ago Be among the first 25 applicants

What is the opportunity?
This role will support the activities of the Governance Oversight Team (GOT) and the Head of Wealth Advice and Governance through undertaking risk analysis and other desk-based monitoring methods to monitor the activities across RBC Brewin Dolphin’s (BD) Front Office activities covering Wealth Advice / Financial Planning. This requires a good working knowledge of FCA regulations relating to financial advice.

What will you do?

• Conduct quality assurance reviews of financial planning, risk based and or targeted.
• Further root cause analysis and exception-based monitoring.
• Analysis of key business metrics to inform risk identification and escalation.
• Review and testing effectiveness of existing controls.
• Review and recommendation of policy and procedures enhancements.
• Liaise and assist, as required with other RBC Brewin Dolphin Functions, principally Front Office Investment Management & Wealth Advice teams, Risk & Compliance, Business Support and Internal Audit in all matters pertaining to monitoring and Investment Governance work.

What do you need to succeed?

Must-have

• Diploma in Regulated Financial Planning and progression towards Advanced Financial Planning Certification.
• Proven experience working in the Wealth Advice / Regulated Financial Services sector.
• Demonstrable experience of Wealth Management and/or experience in Financial Planning.
• Analytical and problem-solving skills.
• Proficient MS Excel and PowerPoint skills.

Nice-to-have

• Paraplanning experience.
• A Compliance or Risk background.

What is in it for you?
We thrive on the challenge to be our best - progressive thinking to keep growing and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• Leaders who support your development through coaching and managing opportunities.
• Opportunities to work with the best in the field.
• Ability to make a difference and lasting impact.
• Work in a dynamic, collaborative, progressive, and high-performing team.
• Flexible working options fully supported.

Agency Notice
RBC Group does not accept agency resumés. Please do not forward resumés to our employees, nor any other company location. RBC Group only pay fees to agencies where they have entered into a prior agreement to do so and in any event do not pay fees related to unsolicited resumés. Please contact the Recruitment function for additional details.

Job Skills
Application Testing, Decision Making, Detail-Oriented, Group Problem Solving, IT Quality Assurance, Long Term Planning, Predictive Analytics, Programming Languages, Software Product Testing, Test Automation

Additional Job Details

Address: 12 SMITHFIELD STREET:LONDON

City: London

Country: United Kingdom

Work hours/week: 35

Employment Type: Full time

Platform: WEALTH MANAGEMENT

Job Type: Regular

Pay Type: Salaried

Posted Date: 2025-03-10

Application Deadline: 2025-04-23

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above.

Inclusion and Equal Opportunity Employment
At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

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Seniority level

• Not Applicable

Employment type

• Full-time

Job function

• Quality Assurance
• Industries
• Banking and Financial Services