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Assurance & Suitability Analyst - Wealth Management - London

Employer
twentyAI
Location
London, United Kingdom
Salary
£375 - £425
Closing date
Jun 20, 2023

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Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Responsibilities
  • 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

Role Requirements
  • 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

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