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.
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.
This role is based in the London office with hybrid working.
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.
Unless otherwise stated, candidates must have the right to work in the UK.
Front Office Risk & Control Manager – Suitability London
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Front Office Risk & Control Manager – Suitability employer: CLARC Recruitment
Join an award-winning property consultancy that prioritises compliance and governance while fostering a supportive work culture in vibrant London or Birmingham. With a commitment to employee growth, the firm offers tailored development opportunities and a collaborative environment where your expertise as a Compliance Officer will be valued and impactful. Enjoy the unique advantage of working in a dynamic sector, contributing to strategic oversight and risk management within a respected organisation.
