Risk Officer

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

Job summary

A leading financial services consultancy based in the UK is seeking an experienced individual to join their front office team. The role involves ensuring compliance with regulatory standards and collaborating effectively across departments. Ideal candidates should possess a degree or equivalent experience, along with strong knowledge of FCA Suitability requirements. This position offers competitive compensation and opportunities for career development.

Benefits

Highly competitive salary

Qualifications

• Experience within investment management, wealth or banking.
• Ability to challenge and collaborate effectively with investment professionals.
• Understanding of discretionary portfolio management.

Responsibilities

• Support monitoring processes for regulatory compliance.
• Undertake monitoring activity focused on suitability.
• Produce and enhance MI and KPIs for competence and policy adherence.
• Act as a key contact for Suitability queries.
• Collaborate with Risk & Compliance functions.

Skills

Strong knowledge of FCA Suitability requirements

Strong communication skills

Client-focused approach

Detail-oriented and organized

Education

Educated to degree level or equivalent

Relevant industry or compliance qualification (e.g. CISI, CFA, ICA)

Job description

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
• A highly competitive salary

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.