Associate - Business Assurance

CompanyRaymond James UK

LocationLondon Area, United Kingdom

Posted At12/17/2025

UK Visa Sponsorship Analytics

Occupation Type

Financial and accounting technicians

Occupation Code Skill LevelMedium Skilled

Sponsorship Salary Threshold

£48,700 (£24.97 per hour)

Occupation rate applies

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Description

Job Purpose

We are looking for a detail-oriented professional to help strengthen business assurance within our Front Office. In this role, you will embed effective first-line controls, provide proactive oversight, and implement monitoring processes that meet regulatory standards and support our business objectives. This position is ideal for individuals with para planning experience who want to make a meaningful impact by supporting Branches, Advisers, and Financial Planners. You will play a key role in ensuring compliance with internal policies and external regulations, while promoting operational excellence and contributing to the success of our clients and colleagues.

Key Responsibilities

Review client cases before and after sales to ensure advice is suitable, clearly documented, and compliant with regulations and company policies.
Assess the suitability of financial advice across a range of products, including pensions, investments, and retirement planning.
Identify and escalate potential risks, compliance issues, or documentation discrepancies.
Conduct qualitative reviews of client investment portfolios, applying a strong understanding of internal processes, investment strategies, and client service standards.

Support the management and oversight of the Qualitative Review (QR) team within the Group Controls, Oversight & Monitoring department (GCOM), including : Maintaining high-quality standards and providing constructive recommendations,

Running peer review processes where appropriate.

Responding promptly to queries and challenges from the Front Office.

Assisting with SMCR processes and competency sign-off.

Contribute to resolving audit points and supporting continuous improvement initiatives.

Qualifications & Experience

CISI Level 4, CII Level 4 or equivalent qualification.
Experience in Investment Management and Financial Planning, either in a client-facing role or within first- or second-line oversight.
Strong knowledge of financial planning, including Protection, Pensions, Investments, Capital Gains Tax (CGT), and Inheritance Tax (IHT).
Familiarity with financial services operations and regulatory frameworks.
Ability to work effectively with colleagues at all levels and in diverse tea
ms.Previous experience in team leadership or supervisory roles is an advantage.

Skills & Attributes

Highly organised and methodical approach to
work.Strong understanding of financial services systems.
Ability to meet deadlines and remain resilient under pres
sure.Exceptional attention to detail and accuracy.
Excellent interpersonal and communication skills, with a collaborative and respectful approach to feedback.
Strong written and report-writing skills.
Effective time management and leadership capabilities.