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
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 adviser and customer offering spans financial advice, investment platforms, multi-asset investment solutions, and discretionary fund management.
The business is comprised of two segments:
- Affluent: Includes Quilter Financial Planning, the Quilter Investment Platform, and Quilter Investors (multi-asset investment solutions).
- High Net Worth: Covers the discretionary fund management business (Quilter Cheviot), alongside Quilter Cheviot Financial Planning, which delivers personalised services to private clients, charities, trustees, and professional partners. Quilter Cheviot operates across the UK, Ireland, and Channel Islands.
At Quilter, we are committed to building on our expertise while seizing new opportunities to make an even greater difference to customers, colleagues, and communities. Join us in this journey of transformation as we evolve, modernise, and enhance our customer focus.
About The Role
Level: 4 Location: Remote (with travelling in the South/South West Region – South East/Kent), plus car allowance Department: Supervision & Oversight Contract: Permanent
Join a colleague-focused team of compliance professionals who collaborate closely with AR Firm Principals, ensuring their firms remain safe and well-supported. You’ll apply your experience to coach, support, and develop tailored action plans for up to 40 AR firms in your panel. Training and development are prioritised to empower you to meet challenges while fostering personal growth as a Regulatory Oversight Manager in Quilter Financial Planning.
This role focuses on delivering regulatory oversight to AR firms and registered individuals, ensuring Treating Customers Fairly principles are embedded within the organisation.
Your Responsibilities
• Act as the key compliance contact for AR firms, building strong relationships with their principles while adhering to Quilter Financial Planning (QFP) network standards. • Conduct annual assessments, customised firm visits, and interactive sessions to safeguard governance and adviser compliance. • Monitor AR firm and adviser behaviours, risk levels, and performance, identifying areas needing attention, setting action plans, and aligning remediation with firm-specific timelines. • Work collaboratively with QFP departments to address operational gaps and risks to ensure alignment with network appetite. • Use supervisory activities, risk assessment results, and data reviews to detect, categorise, and address risks—applying appropriate controls where necessary. • Travel 2 days a week as part of fieldwork, coordinating firm visits independently while conducting thorough on-site inspections and evaluations. • Provide coaching, feedback, and corrective guidance to firms based on analysis, compiling detailed reports for oversight and categorising risks appropriately. • Escalate critical findings through the registered structure and manage resolutions diligently with the Supervision & Oversight Manager. • Conduct inspection visits, document findings, address escalations, and improve processes within assigned firm panels.
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Requirements
• Proven expertise in field supervision, compliance monitoring, arc advisor, or independent assessor roles, enabling strong judgement and strategic oversight. • Proficient compliance professional familiar with Networks/National/hybrid IFA models, possessing industry-specific behavioural insight to challenge, question, and refine processes. • Holding a Qualifications Examination Council (QCF) Level 4 qualification or equivalent shows commitment to regulatory competency. • Deep understanding of compliance requirements and assurance principles, underscored by a relevant Compliance & Risk qualification.
Inclusion & Diversity
At Quilter, we embrace diversity and actively champion inclusivity. We foster an environment where everyone is valued for their skills, background, and experience, regardless of differences in background or perspective. By celebrating inclusivity, we enhance collaboration and the complementary contributions our teams bring to meet the needs of our clients and communities.
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Our Values
To guide our collective progress and reinforce our mission, we stand by four guiding values:
- Do the right thing: We embody integrity and go above and beyond in service to our clients and communities.
- Always curious: We’re continually accessing new insights and experiments to serve better, push boundaries, and pioneer brilliant solutions for every generation.
- Embrace challenge: Fueled by ambition and resilience, we convert challenges into sustainable growth.
- Stronger together: Empowered by diverse talents, we listen, discuss actively, share knowledge, and support mutual goals with collaborative confidence.
Core Benefits
- Holiday: 182 hours (26 days)
- Quilter Incentive Scheme: All employees participate to support business growth and individual performance.
- Pension Scheme: Non-contributory but can be enhanced by personal contributions.
- Private Medical Insurance: Standard single cover with optional extensions for dependents.
- Life Assurance: 4x salary included.
- Income Protection: 75% salary (minus state benefits) until full recovery after 26 weeks of absence.
- Healthcare Cash Plan (UK employees only): Jersey employees receive tailored benefits.
Further Benefits: Select from an array of flexible benefits package, with contributions payable via convenient payroll deductions.
Why join us?
At Quilter, you’ll thrive in a dynamic environment with a focus on growth, collaboration, and innovative solutions. Shape your career alongside ambitious professionals while contributing to the ongoing evolution of our financial services sector.
We enthusiastically invite applications and encourage you to join us! #Quilter
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