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Compliance Suitability - Wealth Manager, London
Client: MERJE
Location: London, United Kingdom
Job Category: Other
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EU work permit required: Yes
Job Reference: 3e4985a26af7
Job Views: 11
Posted: 26.04.2025
Expiry Date: 10.06.2025
Job Description:
MERJE is delighted to partner with an established Wealth Management firm in London.
Working in a highly collaborative and successful environment, you will be part of a team providing regulated financial and investment advice to clients in the UK and across Europe. As a Business Assurance Analyst, your responsibilities include:
* Reviewing suitability reports to ensure advice complies with FCA requirements.
* Proactively contacting internal clients for further information and clarifications.
* Providing feedback to report writers and responding to follow-up inquiries.
* Offering feedback to the Training Program Manager on team development needs.
* Discussing process improvements with management.
* Attending roundtable meetings to discuss review themes and suggest improvements.
* Maintaining a strong understanding of FCA's COBS requirements for suitability.
* Reviewing personal recommendations for retail clients.
* Possessing a strong understanding of financial planning, especially pension planning.
* Communicating complex issues clearly, both in writing and face-to-face.
Excellent people skills are essential to provide professional and courteous service to internal clients.
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