As a Regulatory Oversight Manager in Quilter Financial Planning, your role is to deliver regulatory oversight to appointed representative firms and registered Individuals and ensure Treating Customers Fairly principles are embedded.

The role is a compliance function that strives to maintain professional safety in the Quilter Financial Planning group, via successful discharge of supervisory responsibilities. The identification and resolution of customer, regulatory, reputational, and operational risks are a key component in establishing an effective control function.

With your own panel of firms, you will review AR bespoke characteristics and behaviours identified by risk assessment as requiring supervision.

You will build strong relationships with AR Principals and work with them to help them achieve effective governance of their AR Firms & Advisers whilst adhering to Network standards. This will be achieved through a program of both diarised annual assessments and bespoke firm visits and interactions, with you acting as the main compliance contact for the firm.

Working with the firm and other QFP departments, you will identify areas of concern in a firm’s current processes, set action plans and agree timescales for these to be rectified.

The role will also see you manage areas of risk to within Network appetite and identify and investigate areas of risk through Supervisory activity as well as review and assess risk assessment results and risk analysis data to identify AR firm and adviser risk and apply appropriate controls.

You will conduct bespoke inspection visits, complete reports, provide coaching and feedback, identify risks and escalate any identified failings through to the Supervisions & Oversight Manager, use the correct escalation channels and manage identified issues to conclusion.

This is a field and home-based role with an average of 2 days a week in the field of which you will be responsible for planning and scheduling your own firm visits.

About You

Our ideal candidate will be able to bring a high-level of experience within field supervision or compliance monitoring and be a competent assessor for firms and advisers.

You will be a strong relationship builder and confident communicator, particularly skilled in questioning, and be able to display sound judgment when assessing risks and developing action plans. You will also have a strong analytical approach and inquisitive nature.

You will have experience of Network/National and IFA/restricted advice models and QCF Level 4 or equivalent.

A Compliance & Risk qualification is essential for this position.

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Inclusion & Diversity

We value diversity and strive to promote inclusivity in all aspects of our culture. We believe in equal opportunities for all, ensuring that no applicant encounters less favourable treatment based on anything but their skills, qualifications, experience, and potential. We celebrate the unique contributions of a diverse workforce and create a respectful, nurturing environment where every colleague can thrive.

Values

• Do the right thing: We act with integrity and are proudly committed to going above and beyond in service of our clients and the support we provide our communities.
• Always curious: We continuously seek new ideas and knowledge so we’re one step ahead of our clients’ needs. We look for inspiration everywhere and encourage experimentation, recognising that this is how we create brilliant solutions for brighter futures.
• Embrace challenge: We aim high to transform our potential into meaningful outcomes. With ambition as our driving force and a steadfast commitment to growth, we succeed for the good of every generation.
• Stronger together: Combining our diverse talents, we accomplish more collectively than we ever could do alone. We speak openly, actively listen, and support each other, and constructively challenge and embrace new ideas. We seek empowerment and demonstrate ownership and trust, with the confidence to make impactful decisions.

Core Benefits

• Holiday: 182 hours (26 days)
• Quilter Incentive Scheme: All employees are eligible to participate in incentive scheme, to incentivise business performance and their contribution.
• Pension Scheme: A non-contributory company pension scheme that can be boosted through personal contributions.
• Private Medical Insurance: Single cover as standard with options to increase cover to include your partner or children.
• Life Assurance: 4x your salary.
• Income Protection: 75% of salary, less state benefits, payable after 26 weeks of absence.
• Healthcare Cash Plan: Jersey employees only

In addition to our core benefits, we offer a range of flexible benefits to UK employees that you can choose from and pay for conveniently via a salary deduction.