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- Tasks: Monitor client outcomes and ensure compliance with regulatory standards in wealth management.
- Company: Join LGT Wealth Management, a prestigious firm owned by the Princely Family of Liechtenstein.
- Benefits: Enjoy a collaborative culture, professional development opportunities, and a focus on sustainability.
- Why this job: Be part of a team that prioritises client success and innovative solutions in finance.
- Qualifications: Degree level education or equivalent experience in investment management is required.
- Other info: This role offers a chance to influence key financial decisions and enhance your career.
The predicted salary is between 43200 - 72000 £ per year.
LGT Wealth Management UK LLP is a UK-based partnership, wholly owned by the private banking group LGT, which is in turn owned by the Princely Family of Liechtenstein. Our aim is to offer a fresh approach to wealth management. Our head office is based in London; however, we have a presence in Edinburgh, Jersey, Leeds, Birmingham and Bristol. Our mission is to create long-term value for all stakeholders. Our culture encourages individuals to generate, develop and implement ideas which will strengthen our business. Belonging, respect, integrity, conviction and entrepreneurship are our core values.
Business Unit: The role of the Front Office Risk & Control Team is to help ensure that good client outcomes are being achieved, and portfolios are being correctly managed in line with relevant regulatory standards, internal policies, and procedures.
Brief Role Objective: The Front Office Risk & Control Officer will report into the Head of Front Office Risk & Control, with a strong focus on Suitability for our Discretionary Management Service and Wealth Planning Service. Monitoring will include a combination of pre-planned assurance work together with dealing with ad hoc queries and requests for information. The role holder is expected to be passionately focused on good client outcomes and the prevention of foreseeable harms.
Key Responsibilities:
- Support the design and upkeep of the Team's monitoring processes to ensure adherence with key regulatory requirements and internal policies, procedures, group standards.
- Complete regular monitoring tasks (including Suitability), in line with the Team's monitoring plan.
- Support the production and ongoing development of effective MI / KPIs to monitor ongoing competence, adherence to policies and procedures, and to demonstrate that the right client outcomes are being achieved.
- Support the resolution of any breaches of client mandates.
- Support production of periodic reports to Boards and Committees as required.
- Support Front Office staff and key stakeholders across the business, acting as a key contact for first line Suitability matters.
- Strong collaboration and sharing of best practice with teams within the Front Office and the wider business, including Risk & Compliance.
- Support the delivery of key Front Office Risk & Control initiatives.
- To coordinate and provide Suitability related training as agreed.
Your profile
Key Skills and Technical Requirements:
- Educated to degree level or equivalent professional experience.
- Experience of working in a discretionary or advisory investment management environment with a focus on Retail investors.
- Awareness of the current financial services environment.
- Relevant industry or professional Compliance qualification.
Other Skills and Attributes:
- Strong knowledge and application of FCA Suitability requirements.
- Strong knowledge and awareness of the relevant rules and guidance of the JFSC and SEC.
- Client centric.
- Investment focused - good understanding of client investment needs.
- Strong interpersonal skills and teamwork.
- Strong presentation and communication skills.
- Strong negotiation and influencing skills.
- Attention to detail and strong focus on accuracy of information.
- Self-confident and able to influence effectively.
- Self-motivated.
Interested in the role? Complete the online application. We look forward to getting to know you.
Front Office Risk and Control Officer employer: LGT Vestra LLP
Contact Detail:
LGT Vestra LLP Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Front Office Risk and Control Officer
✨Tip Number 1
Familiarise yourself with the FCA Suitability requirements and conduct of business rules. Understanding these regulations will not only help you in interviews but also demonstrate your commitment to compliance and client-centric service.
✨Tip Number 2
Network with professionals in the investment management sector, especially those who have experience in discretionary or advisory roles. Engaging with industry peers can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've contributed to good client outcomes in previous roles. Highlighting your experience with monitoring processes and adherence to regulatory standards will set you apart.
✨Tip Number 4
Showcase your interpersonal skills by preparing for situational questions that assess your ability to build relationships and influence stakeholders. Being able to articulate your approach to teamwork and collaboration is crucial for this role.
We think you need these skills to ace Front Office Risk and Control Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in discretionary or advisory investment management. Emphasise your understanding of FCA Suitability requirements and any compliance qualifications you hold.
Craft a Compelling Cover Letter: In your cover letter, express your passion for client outcomes and your ability to work collaboratively within a team. Mention specific examples of how you've contributed to monitoring processes or resolved client issues in the past.
Showcase Relevant Skills: Highlight your strong interpersonal skills and attention to detail. Provide examples of how you've successfully built relationships with clients or colleagues, and how you've ensured accuracy in your work.
Research the Company: Familiarise yourself with LGT Wealth Management's values and mission. Reflect this understanding in your application by aligning your personal values with theirs, particularly around integrity and client-centric service.
How to prepare for a job interview at LGT Vestra LLP
✨Understand the Role and Responsibilities
Make sure you have a clear understanding of the Front Office Risk and Control Officer role. Familiarise yourself with the key responsibilities, especially around monitoring client outcomes and regulatory compliance. This will help you articulate how your skills align with their needs.
✨Showcase Your Industry Knowledge
Demonstrate your awareness of the current financial services environment and the FCA Suitability requirements. Be prepared to discuss recent developments in investment management and how they impact client services, as this shows your commitment to staying informed.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving abilities and decision-making skills. Prepare examples from your past experience where you successfully navigated challenges related to client suitability or compliance issues, highlighting your attention to detail and accuracy.
✨Emphasise Interpersonal Skills
Since the role involves collaboration with various teams and stakeholders, be ready to discuss your interpersonal skills. Share examples of how you've built relationships and influenced others in previous roles, showcasing your ability to work effectively within a team.
