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
Regulatory Oversight Manager – Quilter Financial Planning
Level: 4 Location: Remote (with coverage of the South region: South East/Kent and South West), car allowance provided Department: Supervision & Oversight Contract: Permanent
About Quilter plc
Quilter plc is a leading wealth management business, dedicated to helping individuals achieve brighter financial futures across generations. With £141.2 billion in customer investments (as of December 2025), the company offers a comprehensive suite of financial services, including:
- Financial advice
- Investment platforms
- Multi-asset solutions
- Discretionary fund management
Quilter operates in two core segments:
- Affluent: Including Quilter Financial Planning, Quilter Investment Platform, and Quilter Investors
- High Net Worth: Featuring Quilter Cheviot and Quilter Cheviot Financial Planning, servicing private clients, charities, trustees, and professional partners across the UK, Ireland, and Channel Islands.
Guided by expertise and lifelong learning, Quilter is continually evolving to meet modern challenges and deliver superior value to customers, colleagues, and communities.
About the Role
As a Regulatory Oversight Manager in Quilter Financial Planning, you will play a pivotal role in ensuring compliance, mitigating risks, and fostering operational excellence within the independent advice firm network.
Key Responsibilities
- Regulatory Oversight:
- Deliver comprehensive regulatory oversight to appointed representative (AR) firms and registered individuals, ensuring adherence to Treating Customers Fairly (TCF) principles.
- Oversee up to 40 AR firms, focusing on identifying and managing risks related to customer, regulatory, reputational, and operational areas.
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Strategic Supervision:
- Conduct annual assessments and targeted firm visits to monitor AR firms and develop firm-specific action plans.
- Engage closely with AR Firm Principals to align their practices with Network standards, ensuring robust governance for advisers and firms.
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Risk Management:
- Analyse and apply controls based on risk assessment findings (e.g., Supervisory Activity).
- Maintain risk acceptance thresholds within Network appetite while escalating critical issues to the Supervisions & Oversight Manager.
- Identify risks related to processes, behaviours, and compliance gaps, acting as the primary compliance contact for each firm.
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Field & Field-Based Work:
- Conduct in-person inspections and fact-finding visits, planning and scheduling visits faultlessly.
- Compile detailed reports and provide personalised feedback, training, and support with data-driven insights.
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Escalation Protocol:
- Act decisively to escalate any identified compliance failures or significant risks, monitoring them until resolution.
About You
Quilter seeks a proven compliance professional eager to grow with a forward-thinking organisation. We are looking for:
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Relevant Experience:
- Level 4 Compliance & Risk qualifications are essential (e.g., Level 4 Regulator or equivalent).
- Proven expertise in field supervision or compliance for financial advice firms (including experience with Network, National, IFA, or restricted models).
- Proven ability to effectively evaluate risks, assess advisers/firms, and execute inspectional reviews.
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Soft Skills:
- Exceptional relationship-building and interpersonal savvy – you must be adept at questioning, explaining complex concepts, and fostering trust.
- A balanced approach to management: supportive yet incisive when necessary, with a demand for high standards in both adherence and enforcement.
- Strong analytical mindset and problem-solving aptitude with attention to nuances and proprietary industry knowledge.
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Cultural Fit – Quilter’s Core Values
Quilter operates with five defining values:
- Do the right thing: Integral, transparent, and steadfast ethical alignment.
- Always curious: Proactive about innovation and learning, open to novel ideas.
- Embrace challenge: Competitive yet collaborative in driving transformative impact.
- Stronger together: Valuing diverse perspectives, mutual support, and constructive challenges.
Career Benefits
Core Offer:
- **26 days of holiday equivalent to 182 hours
- Access to the Quilter Incentive Scheme (performance-linked benefits for employees)
- Non-contributory company pension (boostable with personal contributions)
- Private Medical Insurance (standard single cover with expandable options for dependents)
- $4x salary life assurance
- Income protection (75% of your salary minus state benefits after 26 weeks of incapacity)
- Healthcare cash plan (applies only for Jersey-based employees)
Flexible UK Employee Benefits
- A curated selection of paid-for benefits via salary deduction, allowing personalisation to include hobbies, therapies, and health-related perks.
Inclusion & Diversity
Quilter champions a culture where every voice is valued, and individuals receive equal opportunities free from unconscious bias. By fostering inclusivity, we encourage collaboration, creativity, and ownership, driven by a commitment to social responsibility and the betterment of communities.
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