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- Tasks: Monitor investment suitability and ensure compliance with regulations in wealth management.
- Company: Join a leading Wealth & Asset Management firm with a focus on risk and controls.
- Benefits: Full-time role with opportunities for growth and development in a dynamic environment.
- Why this job: Make a real impact in the financial services industry while developing your skills.
- Qualifications: Background in Risk & Controls or Compliance Monitoring; strong communication skills required.
- Other info: Entry-level position based in London, perfect for recent graduates or those looking to transition.
The predicted salary is between 36000 - 60000 £ per year.
A large Wealth & Asset Management business is looking for a Risk & Controls Analyst to join their Front Office focused Risk & Control team. Candidates should have a background in Risk & Controls or Compliance Monitoring, and the firm will consider candidates looking to move from 2LOD to 1LOD.
Duties & Experience required include:
- Strong knowledge of FCA Suitability requirements within a wealth management business.
- Good monitoring & assurance skills, compliance or risk management.
- Knowledge of Jersey (JFSC) and US (SEC) rules, preferable.
- Excellent communication skills, both written and oral.
Requirements:
- Right to work in the UK.
Seniority level: Entry level
Employment type: Full-time
Job function: Other and Accounting/Auditing
Industries: Investment Management and Financial Services
Location: London, England, United Kingdom
Investment Suitability Monitoring – Wealth Management employer: CLARC Recruitment
Contact Detail:
CLARC Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Investment Suitability Monitoring – Wealth Management
✨Tip Number 1
Network like a pro! Reach out to folks in the Wealth Management sector, especially those who work in Risk & Controls. A friendly chat can open doors and give you insights that might just land you that interview.
✨Tip Number 2
Prepare for the interview by brushing up on FCA Suitability requirements. We want you to be the go-to person for compliance questions, so show off your knowledge and confidence when discussing these topics.
✨Tip Number 3
Practice your communication skills! Whether it’s written or oral, being able to articulate your thoughts clearly is key. We suggest doing mock interviews with friends or using online platforms to refine your delivery.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search!
We think you need these skills to ace Investment Suitability Monitoring – Wealth Management
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the job description. Highlight your experience in Risk & Controls or Compliance Monitoring, and don’t forget to mention any knowledge of FCA Suitability requirements. We want to see how you fit into our team!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about Wealth Management and how your skills align with the role. Keep it concise but engaging – we love a good story!
Show Off Your Communication Skills: Since excellent communication is key for this role, make sure your written application reflects that. Use clear language and structure your thoughts logically. We want to see your ability to convey complex ideas simply!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you’re considered for the role. Plus, it’s super easy – just a few clicks and you’re done!
How to prepare for a job interview at CLARC Recruitment
✨Know Your Regulations
Make sure you brush up on FCA Suitability requirements and any relevant Jersey (JFSC) and US (SEC) rules. Being able to discuss these regulations confidently will show that you’re serious about the role and understand the compliance landscape.
✨Showcase Your Monitoring Skills
Prepare examples of your monitoring and assurance skills from previous roles. Think about specific situations where you identified risks or improved processes, as this will demonstrate your practical experience in risk management.
✨Communicate Clearly
Since excellent communication is key, practice articulating your thoughts clearly and concisely. You might want to do a mock interview with a friend to refine your responses and ensure you can convey complex information simply.
✨Ask Insightful Questions
Prepare thoughtful questions about the team’s approach to risk and controls. This not only shows your interest in the role but also gives you a chance to assess if the company culture aligns with your values.
