Investment Risk Senior Reviewer

Company description: A rewarding place to work. At Rathbones, We invest in everyone's tomorrow that includes our people. We are always looking for future talent, and we can help you build a rewarding career with clear paths to progression and the opportunity to share in the success of our business. Job description: Role Title: Investment Risk Senior Reviewer Division: RIM - Specialist Support Location: Liverpool Contract: Permanent Working pattern: Hybrid About the Role The Investment Risk team is part of Rathbones' first line of defence, providing oversight of portfolio suitability. The team carries out regular checks, including APRs, MiFID II reviews, complaint investigations, performance monitoring, and due diligence assessments. The purpose of this role is to conduce reviews but also support the Reporting & Portfolio Oversight Manager with check-the-checker reviews and the escalation of issues to line supervision / training and competence. What youll be responsible for Where deviations occur between the client's portfolio and their agreed mandate, Investment Management teams document the reason and remediation plan. The Investment Risk team reviews documented exceptions to confirm accuracy, feasibility, and client awareness. Support the front office & investment risk team with portfolio suitability queries, training and technical assistance. Provide expert guidance and mentorship to Investment Risk Reviewers, supporting their development and ensuring consistency and accuracy in reviews. Act as escalation point for referred reviews, delivering robust solutions and recommendations to IMs / supervisors and/or T&C Ensure timely and effective follow-up on feedback and remedial actions, track outstanding actions and report progress to senior management. The day-to-day duties include: Tasks undertaken by Investment Risk reviewer Complete check-the-checker reviews Organisation & participation in training sessions with Ims Production of MI with regards to the tracking of completed reviews (against team targets) and progress of outstanding actions. Quantity and quality of reviews completed Consistency of team reviews Quality of team feedback given to front office teams Keep up to date regarding regulatory and internal guidance and/or developments Maintain appropriate records to evidence decisions and to produce relevant/accurate MI Ability to challenge the existing checking processes and drive continuous improvements About you Good understanding of the UK Regulatory framework (FCA / JFSC) Knowledge of suitability requirements Have previous experience of regulatory review work Numerically accurate A good attention to detail Able to communicate effectively and quickly establish credibility with employees at all levels of the organisation Building and maintain relationships with key contacts Be able to provide training and support to other colleagues across the business Professional Qualifications relating to Investment Management or Financial Planning (CII/CISI Level 4 or above). Previously undertaken file reviews where regulatory issues have been assessed Provided feedback and training to colleagues TPBN1_UKTJ

Created: 2026-01-09