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 Quilter plc
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 offerings span:
- Financial advice
- Investment platforms
- Multi-asset investment solutions
- Discretionary fund management
The business operates through two segments:
Affluent
- Quilter Financial Planning: Financial planning business
- Quilter Investment Platform: Platform-based investments
- Quilter Investors: Multi-asset investment solutions
High Net Worth
- Quilter Cheviot: Discretionary fund management business
- Quilter Cheviot Financial Planning: Highly personalised service for private clients, charities, trustees, and professional partners
Quilter Cheviot operates across the UK, Ireland, and Channel Islands. The company is future-focused, investing in modernisation and customer-centric services to thrive alongside its colleagues, customers, and communities.
About the Role
Position
Regulatory Oversight Manager (Regulatory/Compliance)
Level & Contract
- Level 4
- Permanent, Remote with regional travel (South East/Kent + South West) + car allowance
Department
Supervision & Oversight (Quilter Financial Planning)
Summary
Join a specialist team responsible for building strong, proactive relationships with appointed representative (AR) firms within Quilter. Your role focuses on:
- Ensuring compliance with regulations
- Supporting AR firm growth
- Mitigating customer, regulatory, reputational, and operational risks
Your panel will consist of up to 40 AR firms, with opportunities to coach, assess, and drive remediation aligned with Quilter’s standards.
Key Responsibilities
- Regulatory Oversight & Compliance
- Conduct annual regulatory assessments of AR firms plus ad-hoc visits
- Ensure Treating Customers Fairly (TCF) principles are embedded
- Maintain an overriding focus on network safety and professional accountability
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Risk Management & Coaching
- Identify and escalate high-risk risks (e.g., customer, regulatory, operational) via comprehensive reports and recommendations
- Work collaboratively with network departments to establish firm-level improvements and remedial plans
- Coach AR principals and advisers on effective governance and standard compliance
-
Field-Based Engagement
- Average of 2 days weekly in-field visits, scheduling your own travel plans
- Carry out bespoke inspection visits to firms and deliver short- to medium-term action plans
- Act as the primary compliance point of contact for AR firms under supervision
Core tasks include:
- Reviewing risk assessment results and analytical data to identify firm/regulatory gaps
- Leading supervisory activities to monitor adherence to standards
- Providing ongoing development opportunities for firms/individuals
- Managing incidents escalations and ensuring re-review post-interiction
About You
Essential Qualifications & Experience
-
Experience
- Strong track record in field supervision or compliance monitoring (preferably within the financial sector)
- Expertise in regulatory/IA faecile models (e.g., restricted or national networks) with demonstrated ability to work across firms/individuals
- Leadership in assessing compliance risk, creating action plans, and driving change
-
Qualifications
- QCF Level 4 (or equivalent recognised qualification)
- Compliance & Risk qualification
-
Behavioural Attributes
- Highly consultative, skilled at expert questioning, judging risk, and building trust
- Self-motivated, with a structured analytical approach, ability to challenge and propose improvements
- Strong persuasion skills, confidence in delivering firm-level coaching and reporting
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Core Values & Culture at Quilter
Quilter operates on four foundational values:
- Do the right thing: Integrity in every interaction—serving clients with purpose while giving back to communities.
- Always curious: Proactively seek new ideas and knowledge, pushing boundaries to deliver cutting-edge solutions.
- Embrace challenge: Execute boldly toward high ambitions, believing that challenges transform potential into perfect outcomes.
- Stronger together: Collaborate, innovate, and challenge each other to achieve more collectively.
Our inclusivity commitment encourages diverse contributions, ensuring that our diverse workforce thrives and excels in a respectful, empowering environment.
Core Benefits
- Paid Leave: 26 days + accredits (182 hours total)
- Worker Benefits
- Quilter Incentive Scheme: Performance-linked bonuses applied for all roles
- Optional Sharing Plan in line with business performance
- Pensions: Company-funded scheme, optional personal top-up contributions
- Healthcare:
- Single policy (standard) with optional extended family cover
- Premium Protection:
- Life Cover: 4 × salary protection
- Income Protection: 75% salary coverage post-12 weeks max (plus state benefits deductions)
- Additional healthcare plans (exclusive to Jersey employees: Healthcra Plan)
- Flexible Work Package (UK employees)
- Select other benefits offered deductible from salary, including wellness, transport, or cybersecurity plans.
#Quilter
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