Quilter
Regulatory Oversight Manager - 35 hours p/w with car allowance
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Regulatory Oversight Manager - 35 hours p/w with car allowance
Quilter plc – Regulatory Oversight Manager
About Quilter plc
Quilter plc is a leading wealth management business, dedicated to helping individuals achieve brighter financial futures across every generation.
The company manages £141.2 billion in customer investments (as of December 2025) and provides a range of services, including:
- Financial advice through Quilter Financial Planning
- Investment platforms via Quilter Investment Platform
- Multi-asset investment solutions through Quilter Investors
- Discretionary fund management & private client services via Quilter Cheviot and Quilter Cheviot Financial Planning
Quilter operates in two segments:
Affluent
- Quilter Financial Planning (financial planning)
- Quilter Investment Platform (investment platform)
- Quilter Investors (multi-asset investment solutions)
High Net Worth
- Quilter Cheviot (discretionary fund management)
- Quilter Cheviot Financial Planning (highly personalised service in the UK, Ireland, and Channel Islands)
A forward-thinking business, Quilter integrates expertise, ambition, and scalable innovation to strengthen its mission for customers, communities, and colleagues.
Why join us?
We’re transforming to foster growth, adaptability, and customer-centric excellence. If you thrive on progress, bold ideas, and adaptability, we’d love to hear from you!
Role: Regulatory Oversight Manager
Level: 4 | Location:* Remote (with mandatory trips to South East/Kent & South West + car allowance*)| Contract: Permanent*
About the Role
You’ll join Quilter Financial Planning’s Supervision & Oversight Team, partnering directly with Appointed Representative (AR) Firm Principals to ensure compliance, business resilience, and customer-focused alignment.
Key responsibilities:
- Provide annual regulatory oversight for up to 40 AR firms, including:
- Risk assessment and compliance focusing on regulatory and customer-centric factors
- Bespoke firm visits, insightful coaching, and establishing tailored action plans to address risks
- Build strong, trust-based relationships with AR Firm Principals
- Identify and resolve operational risks (regulatory, reputational, and customer-facing)
- Support Network governance standards while adapting compliance measures
- Conduct inspections, investigations, and reporting
- Liaise with Quilter & network departments to drive improve compliance and operations
- Provide actionable feedback via reports and discussions, ensuring risks are escalated when needed
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This home-based role requires 2 days per week in the field, where you will self-schedule firm visits across the designated regions.
Responsibilities
-
Oversight & Compliance Monitoring
- Review all AR firms within your roster using risk assessment & regulatory tools
- Highlight unique firm behaviours & observational risks requiring supervision
-
Relationship & Governance Mapping
- Act as the primary compliance contact for firms, fostering collaboration on risk reduction.
- Schedule annual supervisory assessments alongside unannounced visits to ensure adherence to Quilter Network standards
-
Risk Management & Corrective Action
- Identify firm-specific areas of concern, prioritise risks, and collaborate on corrective action plans (with defined timelines)
- Conduct risk analysis and identify improvement opportunities
- Escalate failures through appropriate channels and resolve issues to conclusion
-
Professional Growth & Training
- Actively embrace continuous training to upskill against supervisory requirements
- Foster growth and confidence through mentoring & feedback from the Supervisions & Oversight Manager
Requirements
To excel in this role, you’ll need:
- 2+ years of relevant experience in compliance, supervision, or regulatory assessments (preferably with AR firms/IFA models)
- Strong analytical skills – ability to interpret risk data and take objective judgment in developing action plans.
- Expert knowledge of:
- Treating Customers Fairly (TCF) principles
- Regulatory framework for Network/National Chains, IFAs & restricted-advice models
- Qualifications:
- A Compliance & Risk qualification (e.g., ACAM Regulatory or equivalent)
- QCF Level 4 in Financial Advice or accredited equivalent
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Preferred Additional Skills
- Experience working with regulated models like networks or Acquired Independent Financial Advisors (IFAs)
- familiarity with Client Money Protection (CMP) schemes or industry best practices
About You
The ideal candidate is a confident communicator, army of relationship-builders, and practitioner of experiential judgment when assessing compliance gaps. You thrive on:
- Clarity, reassurance, and safeguarding financial security for customers
- Striking the balance between guidance & accountability
- Turning insight into action
Benefits
Core Benefits
- Holiday: 182 hours (26 days)
- Quilter Incentive Scheme: Business & contribution-based incentives
- Pension: Company plan + optional personal contributions
- Health Cover: Standard single private medical insurance (with extendable options)
- Life Assurance: 4x your salary
- Income Protection: 75% salary post-26 weeks (above state benefits)
- (Jersey only: Healthcare Cash Plan)
Flexible Benefits (UK employees)
Extend your remuneration package with salary-sacrifice options from Quilter’s curated catalogue (e.g., childcare vouchers, gym discounts, and home office/professional indemnity insurance).
Our Values
We live by four core principles:
1. Do the right thing.
- Integrity and sincere commitment to clients, communities, and colleagues.
2. Always curious.
- Hungry for knowledge, innovation, and creative problem-solving.
3. Embrace challenge.
- Ambitious to grow, not just for ourselves, but for every generation we serve.
4. Stronger together.
- Collaboration, open communication, and teamwork are integral to our success.
Diversity & inclusion
Quilter commends diverse talent and ensures equal opportunities for everyone. We respect differences, nurture mutual respect, and create a collaborative environment where all colleagues belong.
Join us! For a role as bold as you are. #Quilter 🌟
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