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.

SKILLS/EXPERIENCE:

• 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

• 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