At a Glance
- Tasks: Monitor compliance in wealth management and enhance governance culture.
- Company: Join RBC Brewin Dolphin, a leading financial services firm.
- Benefits: Competitive salary, professional development, and a supportive team environment.
- Other info: Opportunities for growth and collaboration with industry experts.
- Why this job: Make a real impact on compliance and governance in a dynamic team.
- Qualifications: Experience in compliance monitoring and strong analytical skills required.
The predicted salary is between 28800 - 43200 € 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 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, employees benefit from a dynamic environment that encourages progressive thinking and innovation, while also providing opportunities to make a meaningful impact within the wealth management sector. With strong support for professional growth and a commitment to inclusivity, RBC fosters a workplace where every team member can thrive and contribute to the success of clients and communities alike.
StudySmarter Expert Advice🤫
We think this is how you could land RBC Brewin Dolphin - Quality Assurance Analyst (Compliance Monitoring), Governance Oversight
✨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
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter to highlight your experience in compliance monitoring, especially within wealth management. We want to see how your skills align with the role, so don’t hold back on showcasing relevant achievements!
Showcase Your Analytical Skills:Since this role involves a lot of risk analysis and MI reporting, be sure to mention any specific tools or methods you’ve used in the past. We love seeing candidates who can demonstrate their ability to interpret data and make informed recommendations.
Highlight Relevant Qualifications:If you have any industry qualifications like the Level 4 Diploma in Investment Advice or Financial Planning, make them stand out! We value these credentials and they can really set you apart from other applicants.
Apply Through Our Website:Don’t forget to submit your application through our official website! It’s the best way for us to receive your details and ensures you’re considered for the role. Plus, it shows you’re serious about 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. Understanding these will not only help you answer questions confidently but also show that you're serious about compliance monitoring.
✨Showcase Your Analytical Skills
Prepare to discuss your experience with data analysis and MI reporting tools. Bring examples of how you've used advanced Excel skills to identify risks or improve processes in previous roles.
✨Demonstrate Collaboration
Think of instances where you've worked with client-facing teams or other stakeholders to resolve compliance issues. Highlighting your teamwork will show that you can effectively communicate and collaborate in a dynamic environment.
✨Prepare for Thematic Reviews
Be ready to talk about your experience leading thematic reviews or addressing emerging risks. This will demonstrate your proactive approach to compliance and your ability to adapt to regulatory changes.
