RBC Brewin Dolphin – Regulated Wealth Advice, Quality Assurance Analyst

TN United Kingdom; London; On-site; GBP 40,000 - 80,000; Full time

Job summary

An established industry player is seeking a Quality Assurance Analyst to support risk analysis and governance oversight. This role involves conducting quality assurance reviews, analyzing business metrics, and enhancing policies and procedures. The ideal candidate will have a strong background in regulated financial services and possess excellent analytical skills. Join a dynamic team committed to delivering quality financial advice and making a meaningful impact in the industry. Embrace flexible working options and the opportunity for professional development in a collaborative environment.

Benefits

Flexible working options

Leadership support for development

Opportunity to work with top professionals

Dynamic and collaborative team environment

Qualifications

• Proven experience in Wealth Advice / Regulated Financial Services sector.
• Strong analytical and problem-solving skills required.

Responsibilities

• Conduct quality assurance reviews of financial planning.
• Perform root cause analysis and exception-based monitoring.

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

Education

Diploma in Regulated Financial Planning

Advanced Financial Planning Certification

Tools

MS Excel

PowerPoint

Job description

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RBC Brewin Dolphin – Regulated Wealth Advice, Quality Assurance Analyst, London

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Client:

Royal Bank of Canada>

Location:

London, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Reference:

9a9fc21a336a

Job Views:

14

Posted:

26.04.2025

Expiry Date:

10.06.2025

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Job Description:

Job Summary

Job Description

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.

The role will also support and champion the adoption of a new policy, process and controls, using key metrics and business MI to identify risk and recommend proportionate remediation.

What will you do?

• Conduct quality assurance reviews of financial planning, risk-based and targeted reviews.
• Perform root cause analysis and exception-based monitoring.
• Analyze key business metrics to inform risk identification and escalation.
• Review and test the effectiveness of existing controls.
• Review and recommend policy and procedure enhancements.
• Liaise with other RBC Brewin Dolphin functions, including Front Office Investment Management & Wealth Advice teams, Risk & Compliance, Business Support, and Internal Audit regarding monitoring and Investment Governance.

What do you need to succeed?

Must-have

• Diploma in Regulated Financial Planning and progression towards Advanced Financial Planning Certification.
• Proven experience in Wealth Advice / Regulated Financial Services sector.
• Experience in Wealth Management and/or Financial Planning.
• Strong analytical and problem-solving skills.
• Proficiency in MS Excel and PowerPoint.

Nice-to-have

• Paraplanning experience.
• Background in Compliance or Risk.

What is in it for you?

We thrive on the challenge to be our best—progressive thinking, growth, and collaboration to deliver trusted advice that helps our clients and communities prosper. We value each other, potential, making a difference, and mutual success.

• Leadership support for your development through coaching and opportunities.
• Opportunity to work with top professionals in the field.
• Make a meaningful, lasting impact.
• Work in a dynamic, collaborative, and high-performing team.
• Flexible working options supported.

Agency Notice

RBC Group does not accept agency resumés. Please do not forward resumés to employees or other locations. Fees are only paid to agencies with prior agreements and not for unsolicited resumés. Contact Recruitment for details.

#RBCBD

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 accepted until 11:59 PM the day before the deadline.

Inclusion and Equal Opportunity Employment

At RBC, we believe in an inclusive workplace with diverse perspectives. We foster a supportive environment to perform at our best, collaborate, innovate, and grow. We aim to create value for clients and communities through policies promoting respect, belonging, and opportunity for all.

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