Business Quality Manager
London
c.£60,000 plus benefits
Our client is an expanding Investment Management firm, who are looking to recruit an experienced Business Quality Manager to work within their established team, helping to ensure that they continue to meet regulatory requirements relating to investment advice, portfolio management, and record keeping. You will be required to use your excellent compliance analysis skills, conveying complex regulatory information, whilst delivering an outstanding investment service within regulatory requirements.
Duties will include:
1. Investment Management file monitoring, which will include both pre and post-implementation checks.
2. Review investment proposals, client risk profiles, and all necessary documentation to completeness, suitability and compliance.
3. Assessing whether investment decisions are well documented, compliant and in line with business processes.
4. Communicating review outcomes clearly and ensuring all records are accurately maintained within company systems.
5. Providing support to Investment Managers, offering guidance on file review processes and record keeping standards.
6. Monitoring investment portfolios to ensure they align with client objectives and risk profiles.
7. Staying up-to-date with Consumer Duty requirements and ensuring all tasks are completed with a clear focus on positive cl...