Front Office Risk and Control Manager – Suitability

LGT Private Banking

. Plan and coordinate risk-based monitoring for Front Office advice-based activity within the approved framework and monitoring plan .

Posted 10/10/2026full-timeLondon • United KingdomMid-LevelSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in risk-based monitoring and suitability assessment within a retail discretionary or advisory investment environment, with a strong focus on compliance and client outcomes. Capable of providing technical direction, quality assurance, and coaching while analyzing monitoring data to produce evidence-based reports.

Highest-signal resume keywords

Risk-Based MonitoringFCA Suitability RequirementsSupervising and CoachingData Analysis and ReportingRegulated Staff Competence Assessment

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Suitability AssessmentMonitoringWealth PlanningClient Outcomes AnalysisRegulatory ComplianceInvestment KnowledgePortfolio Risk AssessmentFixed Income InstrumentsEquitiesCash Instruments

Soft Skills

Strong Client FocusAttention to DetailStakeholder ManagementSound JudgementOrganizational Skills

Certifications & Qualifications

Relevant Investment QualificationFinancial Planning QualificationRisk QualificationCompliance Qualification

Industry Keywords

Retail Discretionary InvestmentAdvisory InvestmentConduct of BusinessJFSCSEC

About the role

Key responsibilities & impact

Plan and coordinate risk-based monitoring for Front Office advice-based activity within the approved framework and monitoring plan
Balance scheduled work with urgent requests and emerging risks
Allocate work to Officers and provide technical direction, quality assurance, feedback, coaching and line management
Review complex or higher-risk discretionary, advisory and wealth planning cases
Assess findings and recurring themes for potential client harm and control weaknesses
Agree, track and verify proportionate remedial actions
Coordinate investigations into potential suitability issues and breaches of client mandates
Escalate material matters, disputed findings and actions outside delegated authority to the Head
Produce and analyse MI and KPIs covering monitoring results, competence indicators, requirements adherence and client outcomes
Draft suitability analysis and updates for senior management, Board and Committee reporting
Provide guidance and constructive challenge to Investment Managers, Wealth Planners and other Front Office colleagues
Work with Risk & Compliance and other teams on remedial actions, training and competence arrangements
Conduct and quality-assure regulated staff competence assessments, including observing client meetings where appropriate
Improve monitoring methods, data quality and day-to-day processes

Requirements

What you’ll need

Significant experience in a retail discretionary or advisory investment environment, including practical suitability assessment or monitoring
Strong working knowledge of applicable FCA suitability and Conduct of Business requirements for discretionary, advisory and wealth planning activities
Experience reviewing complex cases, assessing potential client harm and identifying proportionate remedial action
Experience supervising, coaching and quality-assuring others’ work, including formal line-management experience
Experience assessing regulated staff competence, including observing client meetings where appropriate, documenting findings and providing constructive feedback
Ability to analyse monitoring data and write clear, evidence-based reports
Professional experience within a similar role, ideally degree educated, together with a relevant investment, financial planning, risk or compliance qualification
Good understanding of clients’ investment needs, portfolio risk, fixed income, equities and cash instruments
Sound judgement, strong client focus and confidence to challenge unsuitable outcomes constructively
Strong organisation, attention to detail and stakeholder-management skills; able to balance planned work, urgent issues and team support
Awareness of JFSC, SEC or other jurisdictional requirements where relevant to assigned work