Quality Assurance Analyst Job at Brewin Dolphin (London)

Quality Assurance Analyst

Brewin Dolphin

Location:
United Kingdom , London

Category:
Finance

Contract Type:
Not provided

Salary:

Not provided

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Job Description:

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.

Job Responsibility:

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

Requirements:

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 we offer:

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

Additional Information:

Job Posted:
February 14, 2026

Expiration:
February 23, 2026

Employment Type:

Fulltime

Work Type:

On-site work

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