Investment Risk Senior Reviewer

Division: RIM - Specialist Support

Location:
Liverpool

Contract:
Permanent

Working pattern:
Hybrid

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 conduct 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.

• Where deviations occur between the client's portfolio and their agreed mandate, 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.
• Complete ‘check‑the‑checker’ reviews.
• Organise and participate in training sessions with IMs.
• Produce MI regarding the tracking of completed reviews (against team targets) and progress of outstanding actions.
• Maintain quality and quantity of reviews completed, consistency of team reviews, and quality of team feedback to front office teams.
• Keep up to date regarding regulatory and internal guidance and developments.
• Maintain appropriate records to evidence decisions and produce relevant/accurate MI.
• Challenge existing checking processes and drive continuous improvements.

• Good understanding of the UK Regulatory framework (FCA/JFSC).
• Knowledge of suitability requirements.
• Previous experience of regulatory review work.
• Numerical accuracy.
• Strong communication skills and ability to quickly establish credibility with employees at all levels.
• Ability to build and maintain relationships with key contacts.
• Capability to provide training and support to colleagues across the business.
• Professional qualifications relating to Investment Management or Financial Planning (CII/CISI Level 4 or above).
• Experience of file reviews where regulatory issues were assessed.

Referrals increase your chances of interviewing at Rathbones by 2x.