Job Description

What is the opportunity?

The Quality Assurance Analyst strengthens first-line compliance monitoring across Wealth Management Europe. This role focuses on proactive risk analysis, desk-based monitoring, and control assessments of RBC Brewin Dolphin’s Front Office client advice and trading activities. You’ll ensure adherence to regulatory requirements (e.g., COBS, CASS, SYSC) while championing policy enhancements, control improvements, and risk remediation to foster a robust governance culture.

The role will also support and champion the adoption of a new policy, process and controls, using key control metrics and business MI to identify risk and recommend proportionate remediation, including the provision of training requirements or process and control improvements. All of which will contribute to improved governance and culture within the Front Office.

What will you do?

Perform first-line compliance monitoring of Front Office activities using regular and exception-based methods

Collaborate with Certified Persons and Client Facing Teams to resolve and remediate compliance issues

Analyse business metrics and Management Information (MI) to identify and escalate risks

Report findings to stakeholders and governance forums

Test and refine control frameworks, policies, and procedures

Lead thematic reviews to address emerging risks or regulatory concerns

What do you need to succeed?

Must-have

Demonstrable experience in a compliance monitoring role supporting front office activities within wealth management or banking

Ability to interpret regulation and recommend suitable, proportionate process and controls

Advanced Excel skills and experience with MI reporting tools

Relevant industry qualifications such as Level 4 Diploma in Investment Advice / Level 4 Diploma in Financial Planning or equivalent

Nice-to-have

Risk or compliance certification

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.

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.

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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:

100 BISHOPSGATE: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:

2025-01-07

Application Deadline:

2026-02-23

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.

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RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.