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Brewin Dolphin Logo Brewin Dolphin · IT - Administration

Governance Oversight Associate

United Kingdom, London · Job Posted July 13, 2026
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Job Description

We have a fantastic opportunity for someone looking to start their career in wealth management governance and oversight. The Quality Assurance Associate will contribute to the strengthening of first-line compliance monitoring across Wealth Management Europe. Working with more experienced team members, you will develop skills in proactive risk analysis, desk-based monitoring, and control assessments of RBC Brewin Dolphin’s Front Office client advice and trading activities. You’ll champion governance excellence whilst ensuring adherence to regulatory requirements and driving process improvements that foster a robust compliance culture. This is a permanent, full-time role and requires 4 days in the office at our London location.

Job Responsibility

  • Perform first-line compliance monitoring of Front Office activities using regular and exception-based methods
  • Analyse business metrics and Management Information to identify and escalate risks
  • Collaborate with experienced colleagues to support Certified Persons and Client Facing Teams in resolving and remediating compliance issues
  • Test and refine control frameworks, policies, and procedures
  • Lead thematic reviews to address emerging risks or regulatory concerns
  • Contribute to the adoption of new policies, processes, and controls using key control metrics
  • Report findings and recommendations to your line manager

Requirements

  • Ability to interpret regulations and data
  • Proficient MS Excel and PowerPoint skills
  • Excellent written and oral communication skills
  • Exceptional organisational skills and attention to detail
  • Analytical and problem-solving capabilities

Nice to have

  • A Levels or above (academic qualifications)
  • Risk, Compliance, or Health & Safety experience
  • Related professional qualifications

What we offer

  • A comprehensive Total Rewards Programme including bonuses, flexible benefits, and competitive compensation
  • 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
  • A world-class training programme in financial services
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