Rathbones
Suitability QC Reviewer
Get notified of more jobs like this · No spam, ever
How your CV stacks up
Upload your CV to see how well it fits this job role
?%
Role Title: QC Reviewer
Location: Liverpool
Contract: 1X Perm, 1X 12 Month FTC
Working pattern: Hybrid
About the Role
These are exciting roles based within the Quality Control (QC) team of Investment Risk working with the Front Office helping to ensure Rathbones fulfils its suitability obligations set out by the Financial Conduct Authority (FCA) in its regulations and Rathbones internal guidance.
In accordance with our ongoing duty of care and obligations, we are required to demonstrate the suitability of our recommendations to our clients have been appropriately considered and justified at both the initial time of application and throughout the client lifecycle, and our clients are receiving suitable outcomes. To demonstrate suitability for posterity and provide evidence when subject to challenge, we need to document our suitability assessment i.e. what we have done, why we did it and when we did it. This is documented in the form of the About You Investment Mandate (AYIM) for existing clients and the initial About Your Investment Mandate (Welcome Letter) for new clients.
Reasons to use Rodeo
Start with a chat, not a search bar
Grad scheme, placement, apprenticeship? Not sure what you want yet — that's fine. Your agent talks it through with you and turns "I have no idea" into a shortlist.
It searches the market for you
Every day your agent scans the market matching roles against what actually matters to you, not just keywords on a CV.
Only hits
No noise. No "maybe this fits." Just roles with a clear explanation of why they're right — and where to focus when applying.
What you’ll be responsible for
- Understand how client records evidence suitability and be able to assess whether the advice given is suitable for our clients.
- YIM/Client Outcome Reviews
- Ensure the YIM/Client file provides enough justification of the suitability of any recommendations made to our clients to ensure it can stand up to any future challenge.
- Engage with colleagues to aid and support in helping files reach the standard required and report the findings accordingly.
- Provide technically appropriate answers to Front Office queries.
- Provide challenge to the Front Office on suitability judgements when appropriate,
- Follow up on past feedback to ensure any required actions are taken.
- Escalate issues detected in the file reviews, such as potential conduct risk issues.
- Provide support and training in respect of Suitability to the Front Officer and other parts of Rathbones as required.
Get help with your application
Your very own career expert that helps elevate your application to the next level.
About you
If you meet some of these criteria and are excited about the role, we encourage you to apply
- High attention to detail
- Good written and numerical skills
- Strong IT literacy and able to navigate new systems
- Able to communicate effectively
- An ability to provide written feedback to colleagues
- Good understanding of the UK Regulatory Framework
- Knowledge of Suitability requirements
- Good understanding of Client Vulnerability
- Good understanding of different types of ‘tax wrappers’ such as ISA’S, GIAs, and SIPPs, etc.
- Have an awareness of Rathbones’ approach to responsible investment.
“It took my CV and asked me questions relevant to understanding what kind of jobs to suggest for me. Suggestions were almost perfect. Jobs were exactly what I’ve been looking for.”
Jessica, London
Skills