Compliance and Suitability Officer in London Area
Job description
Compliance and Suitability – Front Office
We are seeking a Risk & Control Officer to join a Front Office team. This role is central to ensuring portfolios and client advice meet regulatory requirements and deliver good client outcomes.
Key responsibilities:
- Monitor suitability of discretionary investment and wealth planning services.
- Support development of monitoring processes, MI, and KPIs.
- Provide guidance on suitability matters to front office staff.
- Collaborate with compliance, risk, and other teams on control initiatives.
- Contribute to efficiency improvements, data use, and automation.
About you:
- Experience in discretionary or advisory investment management (retail clients).
- Strong knowledge of FCA suitability rules and investment products.
- Excellent communication, influencing, and relationship-building skills.
- Detail-focused, client-centric, and self-motivated.
Extra information
- Status
- Open
- Education Level
- Secondary School
- Location
- London Area
- Type of Contract
- Casual / Part Time Jobs
- Published at
- 18-09-2025
- Profession type
- Management
- Full UK/EU driving license preferred
- No
- Car Preferred
- No
- Must be eligible to work in the EU
- No
- Cover Letter Required
- No
- Languages
- English
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