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Holmes Search

Wealth/Private Banking 1LOD Suitability reviewer - 6 month contract £400 p/d Max

Holmes Search London, United Kingdom
Posted 2 days ago In-Office Contract £300 - £400
J
Posted by
Jake Wyatt
Recruiter
A Private Bank seeks 3 contactors to help undertake 1st line suitability reviews ensuring the RM's have categorised clients risk appetite correctly and are suitably invested across their account,

main responsibilities 

  • Conduct comprehensive review of client files, including assessment of suitability, taking into account client’s risk profile and objectives vs implementation of investments, concentration issues, charging structure and AML documentation.
  • Ensure appropriate documentation and ongoing reviews of Potentially
    Vulnerable Clients.
  • Monitor quality of trade documentation; ensure contemporaneous
    notes to file in myCRM and pre/post-trade documentation meet
    internal and regulatory suitability and record-keeping standards.
    ▪ Monitor for potential risk activity in client base, and escalate identified
    operational and investment risks appropriately and within a timely
    manner
ABOUT COMPANY
Sevenoaks, United Kingdom
4 Employees HR & Recruitment
Holmes Search is an award-winning, specialist recruitment consultancy, providing permanent and temporary staffing solutions, at all levels, throughout...
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