Wealth Compliance & Suitability Specialist

MERJE; Greater London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A well-known wealth management firm in London is looking for a Business Monitoring specialist to join their Private Client team. This role involves reviewing suitability reports, ensuring that financial and investment advice aligns with regulatory standards, and engaging in feedback processes with report writers. The ideal candidate will have relevant experience in wealth management and a strong understanding of financial planning principles, with particular emphasis on pensions. It's a great opportunity to join a growing company in a pivotal role.

Qualifications

• Relevant experience in a wealth management environment.
• Strong understanding of FCA's COBS requirements for suitability.
• Ability to provide an efficient and professional service.

Responsibilities

• Review suitability reports according to FCA requirements.
• Provide feedback to report writers.
• Discuss process improvements with management.

Skills

Suitability or assurance type experience

Understanding of financial planning principles

Strong people skills

Job description

A well-known wealth management firm in London is looking for a Business Monitoring specialist to join their Private Client team. This role involves reviewing suitability reports, ensuring that financial and investment advice aligns with regulatory standards, and engaging in feedback processes with report writers. The ideal candidate will have relevant experience in wealth management and a strong understanding of financial planning principles, with particular emphasis on pensions. It's a great opportunity to join a growing company in a pivotal role.