Job Summary

Job Description

What is the opportunity?

To support the function of the Governance Oversight Team, under the Head of Wealth Advice and Governance, through undertaking risk analysis, and other desk-based monitoring methods, of RBC Brewin Dolphin’s (RBC BD) Front Office client advice and trading activities undertaken by Investment/ Portfolio and Financial Planners. A good working knowledge of conduct risk matters, Investment governance arrangements and relevant regulations, particularly (but not limited to) COBS, CASS and SYSC will be required.

The role will also 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 the provision of training requirements or process and control improvements. All of which will contribute to improved governance and culture within the Front Office.

What will you do?

Conduct monitoring in relation to Front Office activities using a combination of regular and exception-based monitoring.

Liaise with Certified Persons and their support staff in Client Facing Teams to remediate issues identified.

Analysis of key business metrics to inform risk identification and escalation.

Production and analysis of Management Information.

Report to key stakeholders and governance forums.

Review and testing effectiveness of existing controls.

Review and recommendation of policy and procedures enhancements.

Conduct thematic review work informed by wider findings or concerns raised within the business.

What do you need to succeed?

Must-have

Demonstrable experience of compliance monitoring and investment management.

Proven experience working in Regulated Financial Services sector.

Diploma in Investment Advice / Compliance; Level 4 Diploma (Financial Planning) or equivalent.

Nice-to-have

Compliance or Risk background preferable.

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.

Flexible working and hybrid options fully supported.

Agency Notice

RBC Group does not accept agency resumés. Please do not forward resumés to our employees, nor any other company location. RBC Group only pay fees to agencies where they have entered into a prior agreement to do so and in any event do not pay fees related to unsolicited resumés. 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

Additional Job Details

Address:

12 SMITHFIELD STREET:LONDON

City:

London

Country:

United Kingdom

Work hours/week:

35

Employment Type:

Full time

Platform:

WEALTH MANAGEMENT

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2025-01-07

Application Deadline:

2025-01-21

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion and Equal Opportunity Employment

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
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We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

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Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.