At a Glance
- Tasks: Monitor compliance in wealth management and support teams in resolving issues.
- Company: Join RBC Brewin Dolphin, a leader in wealth management.
- Benefits: Competitive salary, bonuses, flexible benefits, and world-class training.
- Other info: Dynamic team environment with excellent growth opportunities.
- Why this job: Kickstart your career in governance with real impact on compliance culture.
- Qualifications: Strong analytical skills and proficiency in MS Excel and PowerPoint.
The predicted salary is between 30000 - 40000 £ per year.
We have a fantastic opportunity for someone looking to start their career in wealth management governance and oversight. The Quality Assurance Associate will contribute to the strengthening of first‑line compliance monitoring across Wealth Management Europe. Working with more experienced team members, you will develop skills in proactive risk analysis, desk‑based monitoring, and control assessments of RBC Brewin Dolphin’s Front Office client advice and trading activities. You’ll champion governance excellence whilst ensuring adherence to regulatory requirements and driving process improvements that foster a robust compliance culture. This is a permanent, full‑time role and requires four days in the office at our London location.
What will you do?
- Perform first‑line compliance monitoring of Front Office activities using regular and exception‑based methods
- Analyse business metrics and management information to identify and raise risks
- Collaborate with experienced colleagues to support Certified Persons and Client Facing Teams in resolving and remediating compliance issues
- Test and refine control frameworks, policies, and procedures
- Lead thematic reviews to address emerging risks or regulatory concerns
- Contribute to the adoption of new policies, processes and controls using key control metrics
- Report findings and recommendations to your line manager
What do you need to succeed?
Must‑have:
- Ability to interpret regulations and data
- Proficient MS Excel and PowerPoint skills
- Excellent written and oral communication skills
- Exceptional organisational skills and attention to detail
- Analytical and problem‑solving capabilities
Nice‑to‑have:
- A Levels or above (academic qualifications)
- Risk, compliance or health & safety experience
- Related professional qualifications
What is in it for you?
- A comprehensive Total Rewards Programme including bonuses, flexible benefits and competitive compensation
- Leaders who support your development through coaching and management opportunities
- Opportunities to work with the best in the field
- Ability to make a difference and lasting impact
- Work in a dynamic, collaborative, progressive and high‑performing team
- A world‑class training programme in financial services
RBC Brewin Dolphin – Governance Oversight Associate in London employer: RBC Brewin Dolphin
RBC Brewin Dolphin is an exceptional employer, offering a dynamic and collaborative work environment where innovation thrives. As a Director in the Intermediaries department, you will benefit from a comprehensive Total Rewards Programme, including competitive compensation and flexible benefits, while having the opportunity to lead transformational initiatives that make a lasting impact. With a strong focus on employee development and a world-class training programme, you will be supported in your career growth within a high-performing team dedicated to delivering trusted advice and making a difference in the community.
StudySmarter Expert Advice🤫
We think this is how you could land RBC Brewin Dolphin – Governance Oversight Associate in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like RBC Brewin Dolphin looking for candidates who are engaged and informed.
We think you need these skills to ace RBC Brewin Dolphin – Governance Oversight Associate in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at RBC Brewin Dolphin. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at RBC Brewin Dolphin
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with RBC Brewin Dolphin’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
