What is the opportunity?
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
Agency Notice
RBC Group does not accept agency resumes. Please do not forward resumes to our employees or any other company location. RBC Group only pays fees to agencies where they have entered into a prior agreement, and in any event does not pay fees related to unsolicited resumes. Please contact the Recruitment function for additional details.
Job Skills
- Application Testing, Decision Making, Detail‑Oriented, Group Problem Solving, IT Quality Assurance, Long Term Planning, Predictive Analytics, Programming Languages, Software Product Testing, Test Automation
Employment Details
Address: 100 Bishopsgate, London, United Kingdom
Work hours per week: 35
Employment type: Full time
Platform: Wealth Management
Job type: Regular
Pay type: Salaried
Our Employment Opportunities
At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One RBC. We believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.
RBC Brewin Dolphin – Governance Oversight Associate 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.
