Front Office Risk & Control Manager - Suitability
About the company
A well-established, international private banking and wealth management group is seeking a Front Office Risk & Control Manager to lead suitability monitoring across its discretionary, advisory and wealth planning activity.
Your tasks
Managing a team of Officers, the role sits within the first line and reports to the Head of the function, working closely with Investment Managers, Wealth Planners and Risk & Compliance.
Job Requirements
- Lead a programme of risk-based suitability reviews across the firm’s investment advice and portfolio management activity, taking ownership of the more complex cases.
- Identify trends and potential client detriment from review outcomes, lead investigations where issues arise, and ensure agreed actions are delivered.
- Prepare management information and suitability reporting for senior stakeholders and governance forums.
- Assess the competence of client-facing staff and act as a constructive point of challenge to the business.
- Bring a strong background in wealth or investment management, solid knowledge of FCA suitability and conduct requirements, and a relevant professional qualification.
Requirements
Unless otherwise stated, candidates must have the right to work in the UK.
Other
This role is based in the London office with hybrid working.
The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.