Risk Officer

Core-Asset Consulting Ltd; City Of London; On-site; GBP 50,000 - 70,000; Full time

Job summary

A financial services recruitment agency in London seeks an experienced individual for a compliance role focusing on Suitability within investment management. Candidates should have a relevant degree, strong FCA Suitability knowledge, and experience in monitoring compliance processes. This is an excellent opportunity to join a growing team in a dynamic financial environment.

Benefits

A highly competitive salary

Wider benefits package

Qualifications

• Strong knowledge of FCA Suitability requirements and conduct of business rules.
• Experience within investment management, wealth, or banking.
• Understanding of discretionary portfolio management and wealth planning services.

Responsibilities

• Support the design and development of monitoring processes for compliance.
• Undertake regular monitoring with a focus on suitability.
• Produce and enhance MI and KPIs for evidence of competence.

Skills

FCA Suitability knowledge

Communication skills

Organizational skills

Client-focused approach

Education

Degree or equivalent professional experience

Relevant industry or compliance qualification

Job description

Overview

Our client is looking for an experienced individual to join their growing front office team. This is an exciting opportunity to work within a successful financial services environment with a focus on risk and compliance around Suitability. The role can be based out of Edinburgh or London.

Qualifications

• Educated to degree level or equivalent professional experience
• Experience within a investment management/wealth/banking
• Strong knowledge of FCA Suitability requirements and conduct of business rules
• Understanding of discretionary portfolio management and wealth planning services
• Relevant industry or compliance qualification (e.g.CISI, CFA, ICA or equivalent)
• Strong communication, influencing and presentation skills
• Client-focused, with the ability to challenge and collaborate effectively with investment professionals
• Highly organised, detail-oriented, and motivated

Responsibilities

• Support the design and ongoing development of monitoring processes to ensure compliance with regulatory requirements, internal policies, and group standards
• Undertake regular monitoring activity, with a strong focus on suitability within discretionary management and wealth planning (e.g.retirement planning, inheritance tax planning)
• Produce and enhance MI and KPIs to evidence competence, policy adherence, and positive client outcomes
• Assist with resolving breaches of client mandates and escalating where appropriate
• Prepare periodic reports for Boards and Committees
• Act as a key contact for Suitability queries, providing guidance and training across the front office
• Collaborate effectively with Risk & Compliance and other control functions, sharing best practice and driving efficiencies
• Contribute to the delivery of key initiatives, including improved use of data and automation to strengthen monitoring processes

Benefits

• A highly competitive salary
• Wider Benefits package

Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.

Job reference: 16206

To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.

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Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.

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