Front Office Risk and Control Officer

Overview

Front Office Risk and Control Officer – London (GB) or Edinburgh (GB).LGT Wealth Management UK LLP is a UK-based partnership, wholly owned by the private banking group LGT. Our head office is in London with presence in Edinburgh, Jersey, Leeds, Birmingham and Bristol. We offer a transparent, client-focused service designed around each client’s needs, with a culture built on belonging, respect, integrity, conviction and entrepreneurship. We have over £29 billion in funds under management and approximately 700 staff.Business Unit : Sitting within the Front Office, the Front Office Risk and Control Team helps ensure good client outcomes and that portfolios are managed in line with regulatory standards, internal policies and procedures.Brief Role Objective : The Front Office Risk and Control Officer reports to the Head of Front Office Risk and Control, with a strong focus on Suitability for our Discretionary Management Service and Wealth Planning Service. The team also supports strategic initiatives and day-to-day issues across the Front Office and wider business. Monitoring includes both pre-planned assurance work and ad hoc information requests. The role is focused on delivering good client outcomes and preventing foreseeable harms.Key Responsibilities

Design and upkeep monitoring processes to ensure adherence with regulatory requirements and internal policies, procedures and standards.Complete regular monitoring tasks (including Suitability) in line with the monitoring plan, with emphasis on Discretionary Management Services and Wealth Planning Services (e.g., pension accumulation, retirement planning, inheritance tax planning).Support production and development of effective MI / KPIs at business, team and individual levels to monitor competence, policy adherence and client outcomes.Assist in the resolution of breaches of client mandates.Assist with production of periodic reports to Boards and Committees as required.Support Front Office staff and key stakeholders as a first-line contact for Suitability matters.Collaborate with Front Office and wider teams, including Risk and Compliance, to share best practices.Contribute to Front Office Risk and Control initiatives, focusing on efficiency, data use and where appropriate automation.Coordinate and provide Suitability-related training as agreed.Key Skills and Technical Requirements

Educated to degree level or equivalent professional experience.Experience in a discretionary or advisory investment management environment focusing on Retail investors.Awareness of the current financial services environment.Relevant industry or professional Compliance qualification.Other Skills and Attributes

Strong knowledge and application of FCA Suitability requirements and FCA conduct of business rules as they relate to both discretionary portfolio management and wealth planning services.Strong knowledge and awareness of JFSC and SEC rules and guidance.Client-centric mindset.Investment-focused with good understanding of client investment needs; working knowledge of fixed income, equity and cash instruments and related concepts.Strong interpersonal, teamwork and relationship-building skills across diverse groups and levels.Strong presentation, communication, negotiation and influencing skills; able to constructively challenge Investment Managers / Wealth Planners when needed.Attention to detail and high accuracy; self-confident and able to influence effectively; ..... full job details .....