Rahul O is a Compliance and Risk Manager at Fidelity. He makes sure that fellow employees follow the rules of finance and he makes sure that risks to the company are understood. He has been able to travel and work in India, New York, Bermuda and London in the finance industry.
More information about finance and investment analysts and advisers
Check out 5 videos about this career
Job holders in this unit group advise customers, who may be individuals, companies or specialist groups, on the purchase of investments, insurance, mortgages, pensions and other financial services and products.
There are no formal academic requirements although entrants usually possess GCSEs/S grades and a degree in a relevant subject is sometimes required. Training may be undertaken in-house or entrants may attend courses run by professional institutions. Registration with a regulatory authority is required in some positions.
- Predicts the likely long- and short-term future performance of securities and other financial products and advises upon what will be an appropriate investment for their clients
- Analyses the financial position of clients, taking into account outgoings, dependants and commitments
- Advises on the relative merits of pension schemes, insurance policies and mortgages that best meet the needs of clients given their personal circumstances
- Monitors information on the socio-economic environment and interprets the implications of such information for their clients
- Prepares summary reports of findings for fund managers
- Keeps up to date with financial products, legislation and requirements for compliance with the relevant regulatory authority
- Identifies and attracts new clients by arranging visits and explaining the benefits of financial products.
for this job
|Public admin. & defence||14,229|
|Head offices, etc||10,673|
|Services to buildings||6,637|
Where to go nextAn overview of the financial services sectorSector Skills Council for Financial Services
More information about financial institution managers and directors
Check out 3 videos about this career
Financial institution managers and directors plan, organise, direct and co-ordinate the activities and resources of banks, building societies, insurance companies and post offices.
Entry is possible with A levels/H grades, S/NVQ levels 4 and 5, a degree or equivalent qualification. Those with higher qualifications obtain accelerated training. Internal promotion to management is also possible. On-the-job training is provided. Professional qualifications are available and often mandatory.
- Plans, organises, directs and co-ordinates the activities of financial institutions
- Verifies that accounting, recording and information storage and retrieval procedures are adhered to
- Authorises loans and mortgages in accordance with bank or building society policy
- Promotes financial services, establishes contact with the local business community and professional firms
- Preparing general reports and briefs on more complex cases for senior management
- Ensures compliance with the statutory regulatory framework.
for this job
|Head offices, etc||4,872|
|Public admin. & defence||4,637|
|Computer programming, etc||4,011|
|Architectural & related||3,186|