Assurance & Suitability Analyst - Wealth Management - London
- London, United Kingdom
- £375 - £425
- 02 Jun 2023
- 02 Jul 2023
- Job Function
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Monitor trade documentation and ensure that pre and post trade documentation are in line with regulatory suitability
- Review the suitability of private client, corporate, trust and charity investment portfolios.
- Investigate potential risk associated with new and existing clients
- Run in depth review of client documentation and assess Suitability and AML documentation
- Providing advice to the front office on the execution of the reviews in line with company policy.
- Producing MI and appropriate reports documenting the results of the review process.
- Investigate and Support Suspicious Activity
- Strong knowledge of Suitability and AML/Source of Wealth
- Strong background dealing with the Front Office
- Experience in an Assurance, Risk, AML or Compliance role in a Wealth Manager
- Holds Investment Related Level 4 qualification