RBC Brewin Dolphin – Quality Assurance Analyst, Governance Oversight (Financial Planning)

The role of the Quality Assurance Analyst is to support the activities of the Governance Oversight Team, and the Head of Wealth Advice and Governance through undertaking risk analysis and other desk-based monitoring methods, to monitor the activities across RBC Brewin Dolphin’s Front Office activities, covering Financial Planning. A good working knowledge of conduct risk matters, Investment governance arrangements and relevant regulations, particularly (but not limited to) COBS, CASS and SYSC will be required. This role will also support and champion the adoption of a new policy, process, and controls, using key control metrics and business MI to identify risk, and recommend proportionate remediation, including the provision of training requirements or process and control improvements.

What will you do?

• Conduct monitoring activities in relation to front office using a combination of case review, risk based or targeted; regular monitoring; exception-based monitoring; thematic review work.
• Analysis of key business metrics to inform risk identification and escalation.
• Production and analysis of Management Information and the reporting to key stakeholders and governance forums.
• Evaluate and test effectiveness of existing controls.
• Review and recommendation of policy and procedure enhancements.
• Liaise and assist, as required, with other RBC Brewin Dolphin Functions, principally Front Office Investment Management & Financial Planning; also Risk & Compliance, Business Support and Internal Audit in all matters pertaining to monitoring and Investment Governance work.

What do you need to succeed?

Must-have:

• Diploma in Regulated Financial Planning and progression towards Advanced Financial Planning Certification.
• Demonstrable experience in Wealth Management is a pre-requisite and/or experience in Financial Planning.
• Proven track record in investment governance, compliance monitoring/ compliance policy or operational risk.
• Expertise in the use of Excel spreadsheets for manipulating data and producing meaningful and relevant reports for management.
• Good presentation skills and competent in the use of PowerPoint.

Nice-to-have:

• Paraplanning experience.
• A Compliance or Risk background.

What is in it for you?

We thrive on the challenge to be our best - progressive thinking to keep growing and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual. Leaders who support your development through coaching and managing opportunities. Opportunities to work with the best in the field. Ability to make a difference and lasting impact. Work in a dynamic, collaborative, progressive, and high-performing team. Flexible working options fully supported.

Inclusion and Equal Opportunity Employment

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities. We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.