1LOD, RDR Qualified, Suitability & Trade Review Specialist

Charles Levick
London (Greater)
31 Mar 2018
20 Apr 2018
Contract Type
Full Time
Unique and exciting opportunity at a prestigious Private Bank, looking for a personable individual to join an ambitious first line (1LOD) team based in London. Ideal candidates will be experts in Suitability and Investment File Checking / Trade Reviews.

Multiple role available - Perm / Contract / Temp-Perm.


- Support Front Office and act as first line of defence.
- Ensure FCA Conduct Rules are completely understood and applied coherently throughout the firm.
- Monitor quality of trade documentations and ensure pre and post trade documentations are aligned with internal and regulatory suitability.
- Participate in meetings with management and employees of all levels.
- Respond to ad-hoc requests and client issues in a timely manner.
Conduct comprehensive review of client’s files.


- Must hold RDR Investment related CISI Level 4 qualification.
- Familiar with UK regulatory environments, risk and control frameworks, with detailed knowledge of suitability requirements.
- Must have a firm grasp of HNW (High Net worth Individuals); High risk jurisdictions and high risk clients.
- A minimum of 3 years private wealth management experience.
- Ability to demonstrate commercial judgement.
- Languages are a bonus.

Unfortunately applicants with exclusively KYC / AML experience will not be right for this role.
Suitability and Investment File Checking / Trade Review Experience is essential

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