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- Tasks: Support the Governance Oversight Team by conducting risk analysis and monitoring activities.
- Company: RBC Brewin Dolphin is a leading wealth management firm dedicated to client success and community impact.
- Benefits: Enjoy flexible working options, coaching support, and opportunities to work with industry leaders.
- Why this job: Make a real difference in financial governance while growing in a dynamic, collaborative environment.
- Qualifications: Must have a Diploma in Regulated Financial Planning and experience in Wealth Management or Financial Planning.
- Other info: Join a diverse team committed to innovation and inclusion in the workplace.
The predicted salary is between 36000 - 60000 £ per year.
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.
RBC Brewin Dolphin - Quality Assurance Analyst, Governance Oversight (Financial Planning) employer: Royal Bank of Canada
Contact Detail:
Royal Bank of Canada Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land RBC Brewin Dolphin - Quality Assurance Analyst, Governance Oversight (Financial Planning)
✨Tip Number 1
Familiarise yourself with the key regulations mentioned in the job description, such as COBS, CASS, and SYSC. Understanding these will not only help you in interviews but also demonstrate your commitment to compliance and governance.
✨Tip Number 2
Network with professionals in the wealth management and financial planning sectors. Attend industry events or webinars to connect with people who can provide insights into the role and potentially refer you to opportunities at RBC Brewin Dolphin.
✨Tip Number 3
Brush up on your Excel skills, particularly in data manipulation and reporting. Being able to showcase your proficiency in creating meaningful reports will set you apart from other candidates.
✨Tip Number 4
Prepare to discuss your experience with risk analysis and compliance monitoring in detail. Be ready to provide examples of how you've identified risks and implemented controls in previous roles, as this will be crucial for the Quality Assurance Analyst position.
We think you need these skills to ace RBC Brewin Dolphin - Quality Assurance Analyst, Governance Oversight (Financial Planning)
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly read the job description for the Quality Assurance Analyst position. Understand the key responsibilities and required skills, particularly in risk analysis and investment governance.
Tailor Your CV: Customise your CV to highlight relevant experience in Wealth Management and Financial Planning. Emphasise your knowledge of conduct risk matters and any experience with compliance monitoring or operational risk.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your passion for the role and how your background aligns with the company's values. Mention specific experiences that demonstrate your expertise in investment governance and your ability to analyse key business metrics.
Highlight Technical Skills: Make sure to include your proficiency in Excel and PowerPoint in your application. Provide examples of how you've used these tools to manipulate data and create reports, as this is crucial for the role.
How to prepare for a job interview at Royal Bank of Canada
✨Understand the Regulatory Framework
Familiarise yourself with key regulations such as COBS, CASS, and SYSC. Being able to discuss how these regulations impact the role of a Quality Assurance Analyst will demonstrate your knowledge and preparedness.
✨Showcase Your Analytical Skills
Prepare to discuss your experience with risk analysis and monitoring activities. Be ready to provide examples of how you've used data analysis to identify risks and recommend improvements in previous roles.
✨Highlight Your Communication Skills
Since the role involves liaising with various teams, emphasise your presentation and communication skills. Prepare to discuss how you’ve effectively communicated complex information to stakeholders in the past.
✨Demonstrate Your Teamwork Ability
RBC Brewin Dolphin values collaboration. Be prepared to share examples of how you've worked within a team to achieve common goals, particularly in high-pressure environments or during compliance-related projects.
