Wealth Management

Description:

A prominent Wealth & Asset Management firm is seeking a Risk & Controls Analyst to join their Front Office–focused Risk & Controls team. This is a key position offering exposure to senior stakeholders, client-facing teams, and the operational risk framework supporting investment suitability.

The ideal candidate will have a strong understanding of FCA suitability regulations and a background in compliance monitoring or risk assurance, with the ability to identify control weaknesses, assess compliance risks, and ensure adherence to regulatory expectations.

This role offers an exciting opportunity for candidates currently in a 2LOD function to make the transition into 1LOD, gaining closer alignment with business operations and first-line risk management activities.

Key Responsibilities:

• Conduct compliance monitoring and assurance reviews with a focus on investment suitability.

• Provide risk and control oversight within the Front Office to ensure adherence to FCA and firm policies.

• Support the identification, assessment, and mitigation of operational risks across wealth management functions.

• Review and challenge control effectiveness, escalating issues and recommending enhancements.

• Collaborate with key stakeholders to embed robust risk management culture and governance frameworks.

• Maintain awareness of regulatory changes (FCA, JFSC, SEC) and assess their impact on business operations.

• Prepare clear and detailed reports on findings, trends, and risk themes for senior management.

• Support internal and external audits by providing evidence of monitoring and control activities.

About You:

You are a detail-oriented and analytical professional with a strong foundation in compliance and operational risk management. You have a passion for ensuring regulatory integrity and a proactive mindset towards identifying risks before they escalate. Your ability to interpret complex regulations, communicate findings effectively, and work collaboratively across business units will be key to your success.

You bring:

• A solid understanding of wealth management processes and regulatory expectations.

• Experience in conducting monitoring reviews or risk assessments within financial services.

• A proactive approach to control testing, issue management, and compliance improvement.

• Strong interpersonal skills to engage with stakeholders across business, compliance, and audit functions.

What the Firm Offers:

• Opportunity to work with a leading name in Wealth & Asset Management.

• Exposure to both Front Office and Risk & Compliance leadership.

• Supportive and collaborative work culture with room for progression.

• Competitive salary and comprehensive benefits package.

• Career development opportunities across Risk, Compliance, and Control disciplines.

About CLARC Recruitment:

CLARC Recruitment is a specialist recruitment firm focused on Legal, Audit, Risk, and Compliance (LARC) roles across London and New York. Known for its “Quality over Quantity” approach, CLARC ensures candidates are matched only with positions that genuinely align with their expertise and aspirations.

The CLARC Guarantee ensures that your CV will never be sent to a client without your express permission, maintaining full confidentiality and transparency throughout the recruitment process.