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 – About The Business
Quilter plc is a leading wealth management business, helping to enable brighter financial futures for every generation.
Quilter oversees £141.2 billion in customer investments (as of December 2025). Its offering spans financial advice, investment platforms, multi-asset investment solutions, and discretionary fund management, divided into two segments:
- Affluent: Financial planning through Quilter Financial Planning, the Quilter Investment Platform, and Quilter Investors.
- High Net Worth: Discretionary management via Quilter Cheviot, alongside Quilter Cheviot Financial Planning, serving private clients, charities, trustees, and professional partners. Quilter Cheviot operates across the UK, Ireland, and Channel Islands.
At Quilter, growth is driven by expert execution and bold innovation, ensuring the business stays ahead to make a meaningful impact.
About The Role
Job Title
Regulatory Oversight Manager
Level
Level 4
Location
Remote, with fieldwork in the South region (South East/Kent + South West) Car allowance provided
Contract
Permanent
Department
Supervision & Oversight
This role is with Quilter Financial Planning (QFP) in the Regulatory Oversight team.
Primary Responsibilities
- Develop deep relationships with Appointed Representative (AR) firm principals, understanding their business model while ensuring adherence to Network standards and regulatory compliance.
- Assign direct oversight to up to 40 AR firms, applying your experience to monitor risks, create bespoke action plans, and guide improvement.
- Apply Treating Customers Fairly (TCF) principles rigorously across the QFP group, ensuring compliance and professional safety through risk oversight, assessment, and mitigation.
- Conduct field and office assessments, identifying and escalating regulatory compliance failings through inspection visits, audits, and data analysis.
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Core Duties
- Supervise an AR panel: Specify risks requiring active scrutiny, using tailored oversight methods such as annual assessments, ad-hoc visits, and ongoing support for Principals, firms, and advisers.
- Risk reporting & resolution:
- Identify customer, regulatory, operational, and reputational risks.
- Define action plans with firms, assigning timelines for remediation.
- Embed compliance-driven culture: Coordinate with QFP departments to align processes, rectify gaps, and foster adequate governance.
- Communicate risks granularly through reports, feedback to Principals, and escalation to Supervisions & Oversight Manager as needed.
- Arbitrage field vs. office work: On-site visits (average 2 days/week) compete with remote analysis/reporting, tailored by firm/customer risk levels.
About You
Key Qualifications
✔ Proven compliance & supervision experience: Prior work with firms restricted to Network, National, or IFA models required. ✔ Qualification: QCF Level 4 in Compliance & Risk or equivalent is essential. ✔ Judgment + problem-solving: Strong ability to assess risks effectively, develop data-informed actionable strategies, and challenge resolution paths. ✔ Analytical rigor: Skilled at interpreting risk data (e.g., assessments, feedback) to mitigate vulnerabilities. ✔ Relationship management: Assertive yet collaborative negotiator with stakeholder engagement at Principal/firm governance level. ✔ Communication: Skilled next generation of assessments/reporting, coaching Firms, and facilitating escalation paths.
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Preferences
- Network presence appreciation (National models).
- Exposure to multi-channel compliance work (physical field + documentation).
- Confidence in the UK/IREC regulatory landscape and its application across Financial Planning firms.
Values & Culture
Quilter thrives on its four foundational values: ➡️ Do the right thing: We prioritise ethical action and excellence in client communities. ➡️ Always curious: Insatiable pursuit of growth—intellectually and innovatively. ➡️ Embrace challenge: Big ambitions, bold outcomes, cessation-free hustle. ➡️ Stronger together: We amplify impact through collaboration, open communication, and trust.
Inclusion & Diversity
Quilter is unwavering in its commitment to equality, diversity, and inclusion. Our focus is on skills, potential, and fit—every applicant benefits from an inclusive process and environment where talent thrives.
Benefits
Core Benefits
- Holiday allowance: 26 days/year (182 hours).
- Quilter Incentive Scheme: Participation linked to company/business performance.
- Pension (company non-contributory) + additional opportunities via personal salary adjustments.
- Private Medical Insurance: Baseline single coverage, optionally extended to partner or children.
- Protected finances:
- Life Assurance (4x base salary), Income Protection (75% of salary post-26 weeks).
- (Note: Healthcare Cash Plan available only to Jersey colleagues.)
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