Job Description
SALARY: 50-65K
The Client
Our client is a highly successful Investment Management firm.
The Role
The Quality Control Officer will sit within the Risk & Control Team and will help ensure that positive client outcomes are being achieved, and that investment portfolios are being correctly managed in line with Compliance regulatory standards and internal policies.
The Quality Control Officer will support the upkeep of the Front Office Compliance Risk & Control team’s monitoring processes to ensure adherence with key regulatory requirements and internal policies, procedures, and group standards.
The Quality Control Officer will support the production and ongoing development of effective Front Office MI / KPIs to monitor ongoing competence and to demonstrate that the right client outcomes are being achieved. This includes reviewing Client Files and knowledge of KYC and Client Onboarding.
Support the resolution of any breaches of Investment Management client mandates and support the production of periodic reports to Boards and Committees as required.
The Quality Control Officer will act as a key contact for first line Investment Suitability matters and will share best practices with teams within the Front Office and the wider business, including Risk & Compliance.
The Quality Control Officer will support the delivery of key Front Office Risk & Control initiatives.
The Quality Control Officer will coordinate and provide Suitability-related training for the Wealth Management company.
The Candidate
2-3 years experience within Quality Control / Business Assurance / Front Office Risk / Front Office Control - 1st or 2nd line of defence.
Knowledge of COBBS - Suitability Rules.
Investment management / Wealth Management / Financial Planning business background.
A compliance qualification.
Strong knowledge and application of FCA Suitability requirements.
Experience of working in a discretionary or advisory investment management environment with a focus on Retail investors.
Understanding of Wealth Planning products.
Awareness of the current financial services environment and relevant industry or professional Compliance qualification.
Investment focused - good understanding of client investment needs; a working knowledge of multi-asset classes.
Strong interpersonal skills to work with the Front Office and teamwork.
Self-confident and able to influence effectively; self-motivated.
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