Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Monitor client outcomes and ensure compliance with regulations in a dynamic team environment.
- 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 growing team that values innovation and client success in wealth management.
- 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 42000 - 84000 £ per year.
LGT Wealth Management UK LLP is a UK-based partnership, wholly owned by the private banking group LGT. Our aim is to offer a fresh approach to wealth management, providing a transparent service designed around what is right for each client. We have over £29 billion in funds under management and circa 700 staff.
Business Unit: The Front Office Risk & Control Team helps ensure that good client outcomes are achieved, and portfolios are 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, focusing on Suitability for our Discretionary Management Service and Wealth Planning Service. The role includes monitoring pre-planned assurance work and dealing with ad hoc queries and requests for information.
Key Responsibilities:
- Support the design and upkeep of the Team’s monitoring processes to ensure adherence with key regulatory requirements and internal policies.
- Complete regular monitoring tasks (including Suitability) in line with the Team’s monitoring plan.
- Monitor in relation to our Discretionary Management Services and Wealth Planning Services.
- Support the production and ongoing development of effective MI / KPIs to monitor ongoing competence and adherence to policies.
- Support the resolution of any breaches of client mandates.
- Support production of periodic reports to Boards and Committees as required.
- Act as a key contact for first line Suitability matters.
- Collaborate and share best practices with teams within the Front Office and wider business.
- Support the delivery of key Front Office Risk & Control initiatives.
- Coordinate and provide Suitability related training as agreed.
Your profile
Key Skills and Technical Requirements:
- Educated to degree level or equivalent professional experience.
- Experience 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 of FCA Suitability requirements and conduct of business rules.
- Client centric and investment focused.
- Strong interpersonal skills and teamwork abilities.
- Strong presentation and communication skills.
- Strong negotiation and influencing skills.
- Attention to detail and strong focus on accuracy of information.
- Self-confident and 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 the interview but also demonstrate your commitment to compliance and client-centric service.
✨Tip Number 2
Network with professionals in the wealth management sector, especially those who have experience in discretionary investment management. Engaging with industry peers can provide valuable insights and potentially 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 in monitoring and compliance will show that you understand the importance of these aspects in the Front Office.
✨Tip Number 4
Stay updated on current trends and changes in the financial services environment. Being knowledgeable about recent developments will allow you to engage in meaningful discussions during interviews and showcase your proactive approach.
We think you need these skills to ace Front Office Risk and Control Officer
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly read the job description for the Front Office Risk and Control Officer position. Understand the key responsibilities and required skills, as this will help you tailor your application effectively.
Tailor Your CV: Customise your CV to highlight relevant experience in discretionary or advisory investment management. Emphasise your knowledge of FCA Suitability requirements and any compliance qualifications you hold, as these are crucial for the role.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for client outcomes and your understanding of the financial services environment. Use specific examples from your past experiences to demonstrate how you meet the key skills and attributes outlined in the job description.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any spelling or grammatical errors. Attention to detail is essential for this role, and a polished application reflects your commitment to accuracy.
How to prepare for a job interview at LGT Vestra LLP
✨Understand the Regulatory Landscape
Familiarise yourself with the FCA Suitability requirements and conduct of business rules. Being able to discuss these regulations confidently will demonstrate your knowledge and commitment to compliance, which is crucial for the role.
✨Showcase Your Client-Centric Approach
Prepare examples that highlight your focus on client outcomes. Discuss how you've previously ensured that clients' needs were met, especially in discretionary management or wealth planning contexts.
✨Demonstrate Strong Interpersonal Skills
Be ready to share experiences where you successfully built relationships with diverse stakeholders. This role requires collaboration, so showcasing your teamwork and communication skills will be key.
✨Prepare for Technical Questions
Brush up on your knowledge of investment concepts and instruments. Be prepared to discuss how you would apply this knowledge in monitoring portfolios and ensuring adherence to internal policies.
