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For Companies At a Glance
- Tasks: Join our front office team as a Risk Officer, focusing on compliance and risk management.
- Company: Core-Asset Consulting is a leading recruiter in financial services across Scotland.
- Benefits: Enjoy a competitive salary and a comprehensive benefits package.
- Why this job: Make an impact in a dynamic environment while collaborating with investment professionals.
- Qualifications: Degree level education or equivalent experience in investment management or banking required.
- Other info: We value diversity and welcome applications from all backgrounds.
The predicted salary is between 43200 - 72000 £ per year.
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. CSII, 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.
To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.
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Risk Officer employer: Core-Asset Consulting Ltd
Contact Detail:
Core-Asset Consulting Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Risk Officer
✨Tip Number 1
Familiarise yourself with the FCA Suitability requirements and conduct of business rules. This knowledge will not only help you in interviews but also demonstrate your commitment to compliance and risk management.
✨Tip Number 2
Network with professionals in the investment management and wealth planning sectors. Attend industry events or webinars to connect with potential colleagues and learn more about the latest trends and challenges in risk management.
✨Tip Number 3
Prepare to discuss specific examples of how you've contributed to compliance monitoring processes in previous roles. Highlighting your experience in resolving breaches and enhancing reporting will set you apart from other candidates.
✨Tip Number 4
Showcase your strong communication and influencing skills during the interview. Be ready to explain how you've effectively collaborated with investment professionals and other control functions to drive efficiencies and best practices.
We think you need these skills to ace Risk Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in investment management, wealth, or banking. Emphasise your knowledge of FCA Suitability requirements and any compliance qualifications you hold.
Craft a Strong Cover Letter: Write a cover letter that showcases your understanding of the role and how your skills align with the responsibilities. Mention specific examples of your experience in risk and compliance, particularly in discretionary portfolio management.
Highlight Communication Skills: Since strong communication and influencing skills are crucial for this role, provide examples in your application that demonstrate your ability to collaborate effectively with investment professionals and resolve client queries.
Showcase Organisational Skills: Detail your organisational abilities and attention to detail in your application. Mention any relevant experiences where you successfully managed multiple tasks or projects, especially in a compliance context.
How to prepare for a job interview at Core-Asset Consulting Ltd
✨Know Your Regulations
Make sure you have a solid understanding of FCA Suitability requirements and conduct of business rules. Brush up on the latest regulations and be prepared to discuss how they impact risk management in investment management.
✨Showcase Your Experience
Highlight your relevant experience in investment management, wealth, or banking during the interview. Be ready to provide specific examples of how you've successfully navigated compliance challenges in previous roles.
✨Demonstrate Communication Skills
As a Risk Officer, strong communication skills are essential. Practice articulating complex concepts clearly and concisely, and be prepared to discuss how you've influenced stakeholders or collaborated with teams in the past.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving abilities. Think about potential breaches of client mandates and how you would handle them, as well as how you would enhance monitoring processes to ensure compliance.
