RBC Brewin Dolphin - Regulated Wealth Advice, Quality Assurance Analyst | London, UK

RBC Brewin Dolphin - Regulated Wealth Advice, Quality Assurance Analyst

Royal Bank of Canada London, United Kingdom

Job Summary

What is the opportunity?
This role will support the activities of the Governance Oversight Team (GOT) and the Head of Wealth Advice and Governance through undertaking risk analysis and other desk-based monitoring methods to monitor the activities across RBC Brewin Dolphin's (BD) Front Office activities covering Wealth Advice / Financial Planning. This requires a good working knowledge of FCA regulations relating to financial advice.

The role will also support and champion the adoption of a new policy, process and controls, using key metrics and business MI to identify risk and recommend proportionate remediation.

What will you do?

• Conduct quality assurance reviews of financial planning, risk based and or targeted.
• Further root cause analysis and exception-based monitoring.
• Analysis of key business metrics to inform risk identification and escalation.
• Review and testing effectiveness of existing controls.
• Review and recommendation of policy and procedures enhancements.
• Liaise and assist, as required with other RBC Brewin Dolphin Functions, principally Front Office Investment Management & Wealth Advice teams, Risk & Compliance, Business Support and Internal Audit in all matters pertaining to monitoring and Investment Governance work.

What do you need to succeed?

Must-have

• Diploma in Regulated Financial Planning and progression towards Advanced Financial Planning Certification.
• Proven experience working in the Wealth Advice / Regulated Financial Services sector.
• Demonstrable experience of Wealth Management and/or experience in Financial Planning.
• Analytical and problem-solving skills.
• Proficient MS Excel and PowerPoint skills.

Nice-to-have

• Paraplanning experience.
• A Compliance or Risk background.

What is in it for you?
We thrive on the challenge to be our best - progressive thinking to keep growing and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• Leaders who support your development through coaching and managing opportunities.
• Opportunities to work with the best in the field.
• Ability to make a difference and lasting impact.
• Work in a dynamic, collaborative, progressive, and high-performing team.
• Flexible working options fully supported.

Agency Notice
RBC Group does not accept agency resumés. Please do not forward resumés to our employees, nor any other company location. RBC Group only pay fees to agencies where they have entered into a prior agreement to do so and in any event do not pay fees related to unsolicited resumés. Please contact the Recruitment function for additional details.

Job Skills
Application Testing, Decision Making, Detail-Oriented, Group Problem Solving, IT Quality Assurance, Long Term Planning, Predictive Analytics, Programming Languages, Software Product Testing, Test Automation

Additional Job Details
Address:
12 SMITHFIELD STREET:LONDON
City:
London
Country:
United Kingdom
Work hours/week:
35
Employment Type:
Full time
Platform:
WEALTH MANAGEMENT
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2025-03-10
Application Deadline:
2025-04-23
Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above.
Inclusion and Equal Opportunity Employment
At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.