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About the Role

LGT Wealth Management UK LLP is seeking a professional to plan and coordinate risk-based monitoring for Front Office advice-based activity. This role involves providing technical direction, quality assurance, and line management to a team of Officers, while also reviewing complex cases and assessing potential client harm. The objective is to ensure compliance with regulatory requirements and deliver a transparent service tailored to client needs.

Responsibilities

Plan and coordinate risk-based monitoring for Front Office advice-based activity.
Balance scheduled work with urgent requests and emerging risks.
Allocate work to Officers and provide technical direction, quality assurance, feedback, coaching, and line management.
Review complex or higher-risk discretionary, advisory, and wealth planning cases.
Assess individual findings and recurring themes for potential client harm and control weaknesses.
Agree and track proportionate remedial actions and verify their completion.
Coordinate investigations into potential suitability issues and breaches of client mandates.
Escalate material matters, disputed findings, and proposed actions outside delegated authority promptly.
Produce and analyse MI and KPIs covering monitoring results, competence indicators, adherence to requirements, and client outcomes.
Recommend changes based on evidence.
Draft suitability analysis and updates for senior management, Board, and Committee reporting.
Provide practical guidance and constructive challenge to Investment Managers, Wealth Planners, and other Front Office colleagues.
Work with Risk & Compliance and other teams on remedial actions, training, and competence arrangements.
Coordinate coaching informed by monitoring findings.
Conduct and quality-assure assessments of regulated staff competence, including observation of client meetings.
Document findings, provide feedback, and escalate concerns or proposed actions outside delegated authority.
Improve monitoring methods, data quality, and day-to-day processes.

Requirements

Significant experience in a retail discretionary or advisory investment environment, including practical suitability assessment or monitoring.
Strong working knowledge of applicable FCA suitability and Conduct of Business requirements for discretionary, advisory, and wealth planning activities.
Experience reviewing complex cases, assessing potential client harm, and identifying proportionate remedial action.
Experience supervising, coaching, and quality-assuring others’ work, including formal line-management experience.
Experience assessing regulated staff competence, including observing client meetings, documenting findings, and providing constructive feedback.
Ability to analyse monitoring data and write clear, evidence-based reports.
Professional experience within a similar role.
Good understanding of clients’ investment needs, portfolio risk, fixed income, equities, and cash instruments.
Sound judgement, strong client focus, and confidence to challenge unsuitable outcomes constructively.
Strong organisation, attention to detail, and stakeholder-management skills.
Ability to balance planned work, urgent issues, and team support.
Awareness of JFSC, SEC, or other jurisdictional requirements where relevant to assigned work.

Skills

Suitability assessment
Monitoring
FCA suitability requirements
Conduct of Business requirements
Client harm assessment
Remedial action identification
Supervision
Coaching
Quality assurance
Line management
Staff competence assessment
Client meeting observation
Data analysis
Report writing
Stakeholder management
Risk management
Portfolio risk
Fixed income
Equities
Cash instruments

Location

London
Edinburgh
Jersey
Leeds
Birmingham
Bristol
Manchester

Work Type

Full-time

Experience Level

Senior

Education Level

Degree educated
Relevant investment qualification
Financial planning qualification
Risk qualification
Compliance qualification

About the Company

LGT Wealth Management UK LLP is a UK-based partnership, wholly owned by the private banking group LGT, which is in turn owned by the Princely Family of Liechtenstein.
Established in 2008 with a fresh approach to wealth management.
Offers a transparent service designed around individual client needs.
Draws together in-depth knowledge and experience from across the industry.
Provides a flexible, bespoke service adapted to each client’s needs.
Mission is to create long-term value for all stakeholders.
Culture encourages individuals to generate, develop, and implement ideas.
Core values: Belonging, respect, integrity, conviction, and entrepreneurship.
Becoming an employer of choice in its sector.
Over £30 billion in funds under management.
Circa 700 staff.