Risk Officer

Core-Asset Consulting

  • London
  • Permanent
  • Full-time
  • 14 days ago
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
Core Responsibilities:
  • 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
Benefits:
  • A highly competitive salary
  • Wider Benefits package
Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.Job reference: 16206To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.At Core-Asset, we're committed to protecting and respecting your privacy. Our privacy statement explains when and why we collect personal information about people who engage with our services, how we use it, the conditions under which we may disclose it to others, and how we keep it secure. We may change this policy from time to time, so please check this policy occasionally to ensure that you're happy with any changes.By engaging with us (either by applying for a job we're advertising, registering through our website, or getting in touch with our business) you're agreeing to be bound by this policy.Core-Asset Consulting is committed to protecting the privacy of our candidates, clients and website users. For further information, please refer to our full Privacy Statement available on our websiteCore-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.INDPERM

Core-Asset Consulting