At a Glance
- Tasks: Monitor compliance in wealth management, ensuring adherence to regulations and improving governance.
- Company: Join RBC Brewin Dolphin, a leading bank focused on growth and community impact.
- Benefits: Competitive salary, professional development, and a supportive team environment.
- Other info: Dynamic, collaborative team with opportunities for career advancement.
- Why this job: Make a real difference in compliance and governance while working with industry experts.
- Qualifications: Experience in compliance monitoring and strong analytical skills required.
The predicted salary is between 36000 - 60000 € per year.
We are looking for a Quality Assurance Analyst to strengthen first‐line compliance monitoring across Wealth Management Europe. This role focuses on proactive risk analysis, desk‐based monitoring and control assessments of RBC Brewin Dolphin's front‐office client advice and trading activities. You will ensure adherence to regulatory requirements (e.g., COBS, CASS, SYSC) while championing policy enhancements, control improvements and risk remediation to foster a robust governance culture.
In addition, the role will support and champion the adoption of a new policy, process and controls, using key control metrics and business MI to identify risk and recommend proportionate remediation, including training and process improvements. All of which will contribute to improved governance and culture within the Front Office.
What will you do?
- Perform first‐line compliance monitoring of Front Office activities using regular and exception‐based methods
- Collaborate with Certified Persons and Client Facing Teams to resolve and remediate compliance issues
- Analyse business metrics and Management Information (MI) to identify and escalate risks
- Report findings to stakeholders and governance forums
- Test and refine control frameworks, policies, and procedures
- Lead thematic reviews to address emerging risks or regulatory concerns
What do you need to succeed?
Must‐have:
- Demonstrable experience in a compliance monitoring role supporting front‐office activities within wealth management or banking
- Ability to interpret regulation and recommend suitable, proportionate process and controls
- Advanced Excel skills and experience with MI reporting tools
- Relevant industry qualifications such as Level 4 Diploma in Investment Advice / Level 4 Diploma in Financial Planning or equivalent
Nice‐to‐have:
- Risk or compliance certification
What is in it for you?
- We thrive on the challenge to be our best – progressive thinking to keep growing and working together to deliver trusted advice to help our clients thrive and communities prosper.
- We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.
- Leaders who support your development through coaching and managing 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.
Inclusion and Equal Opportunity Employment
At 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 - Quality Assurance Analyst (Compliance Monitoring), Governance Oversight in London employer: Royal Bank of Canada
RBC Brewin Dolphin is an exceptional employer that prioritises employee development and a collaborative work culture, making it an ideal place for a Quality Assurance Analyst. Located in the heart of London, we offer a dynamic environment where you can thrive alongside industry leaders, contribute to meaningful governance improvements, and make a lasting impact on our clients and communities. With a strong commitment to inclusivity and professional growth, we empower our employees to reach their full potential while fostering a culture of respect and innovation.
StudySmarter Expert Advice🤫
We think this is how you could land RBC Brewin Dolphin - Quality Assurance Analyst (Compliance Monitoring), Governance Oversight in London
✨Tip Number 1
Network like a pro! Reach out to folks in the industry, especially those at RBC Brewin Dolphin. A friendly chat can open doors and give you insights that a job description just can't.
✨Tip Number 2
Prepare for interviews by diving deep into compliance monitoring topics. Brush up on regulations like COBS and CASS, and be ready to discuss how you've tackled similar challenges in the past.
✨Tip Number 3
Showcase your analytical skills! Bring examples of how you've used data to identify risks or improve processes. This will demonstrate your fit for the role and your proactive approach.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you're serious about joining the team.
We think you need these skills to ace RBC Brewin Dolphin - Quality Assurance Analyst (Compliance Monitoring), Governance Oversight in London
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter for the Quality Assurance Analyst role. Highlight your experience in compliance monitoring and how it aligns with the responsibilities mentioned in the job description.
Showcase Relevant Skills:Don’t forget to emphasise your advanced Excel skills and any experience with MI reporting tools. These are key for the role, so make them stand out in your application!
Be Clear and Concise:When writing your application, keep it clear and to the point. Use bullet points where possible to make it easy for us to see your qualifications and experiences at a glance.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way to ensure your application gets to the right people and shows your enthusiasm for joining our team!
How to prepare for a job interview at Royal Bank of Canada
✨Know Your Regulations
Make sure you brush up on the key regulations like COBS, CASS, and SYSC. Being able to discuss how these impact compliance monitoring will show that you understand the role's requirements and can contribute to a robust governance culture.
✨Showcase Your Analytical Skills
Prepare to discuss your experience with analysing business metrics and Management Information (MI). Bring examples of how you've identified risks in the past and what steps you took to recommend proportionate remediation.
✨Excel at Excel
Since advanced Excel skills are a must-have, be ready to demonstrate your proficiency. You might even want to prepare a quick example or two of how you've used Excel for MI reporting or data analysis in previous roles.
✨Collaborative Mindset
This role involves working closely with various teams, so be prepared to talk about your collaborative experiences. Share specific instances where you resolved compliance issues through teamwork, highlighting your ability to communicate effectively with different stakeholders.
