Investment Suitability Review Executive - LON009JN

EY

Job information

Company: EY

Location: London

Education: Postgraduate degree

Benefits: Competitive

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Investment Suitability Review - Executive - Regulatory Advisory

We are currently looking for a Remediation Executive to join our growing practice to provide risk and regulatory solutions for our clients.

As a specialist in Regulation and Compliance, you will have the opportunity to develop your personal, technical and leadership skills within the environment of one of the largest providers of professional services in the world. You will be key in helping clients better assess and improve their risk and regulatory frameworks

Responsibilities of a Remediation Executive

Our Regulatory Advisory team offers you the opportunity to work with the most prominent firms in the Investment/Retail Banking, Investment/Asset Management and Insurance sectors. Responsibilities will be:

To work as part of a team in identifying regulatory gaps and breaches. This will include assessing the quality of advice given by a firm in relation to financial products, assessing a firms systems, or validating the measures taken by a firm to correct issues

Provide input into the application of regulatory standards and support the development of solutions to resolve complex regulatory risks and issues

Assist with the formulation of conclusions and regulatory recommendations

Skills and Experience you will need as a Remediation Executive

  • FPC3 or QCF Level 4 qualified
  • Proven track record of assessing suitability of advice in relation to financial instruments/products
  • Thorough understanding of financial markets and regulatory standards and an ability to translate these into client solutions
  • Experience of working with Regulatory bodies such as the FSA, FSCS or Financial Ombudsman Service would be an advantage but not essential
  • Sound technical knowledge of financial products and / or customer-facing regulated activities (e.g. complaint handling)
  • Flexibility to travel and work full-time on assignments, as necessary

 

Who we are

EY is committed to being an inclusive employer and we are happy to consider flexible working arrangements. We strive to achieve the right balance for our people, enabling us to deliver excellent client service whilst allowing you to build your career without sacrificing your personal priorities. While our client-facing professionals can be required to travel regularly, and at times be based at client sites, our flexible working arrangements can help you to achieve a lifestyle balance.

Job information

Company: EY

Location: London

Education: Postgraduate degree

Benefits: Competitive

Apply

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