Front Office Risk and Control Manager - Suitability
Core
Plan and coordinate risk-based monitoring for Front Office advice-based activity, assess suitability issues, and manage quality assurance for regulated staff competence.
Role type
Senior IC risk and control manager (front office suitability)
Builds
Risk monitoring frameworks, suitability analysis reports, and competence assessment outcomes for the Front Office.
Domain
Financial services / Wealth management / Regulatory compliance
Deliverable
dashboards & analysis
Required skills
Suitability assessment, risk-based monitoring, line management, regulatory compliance (FCA), data analysis, stakeholder management
Preferred skills
Investment management knowledge, portfolio risk analysis, coaching and training
Technologies
MI and KPI reporting tools
Responsibilities
Plan and coordinate risk-based monitoring for Front Office advice-based activity; Allocate work to Officers and provide technical direction and quality assurance; Personally review complex discretionary and advisory cases; Assess findings for potential client harm and control weaknesses; Coordinate investigations into suitability issues and breaches; Produce and analyse MI and KPIs for senior management reporting; Provide practical guidance to Investment Managers and Wealth Planners; Conduct and quality-assure assessments of regulated staff competence including observing client meetings; Improve monitoring methods and data quality processes.