• Educate Appointed Representatives and Registered Individuals in respect of their compliance requirements, “Treating Customers Fairly” responsibilities and achieving Good Customer Outcomes.
• Deliver the risk assessment regime to Appointed Representatives and Registered Individuals and assess the skills, competencies and knowledge required to maintain competence.
• Conduct Adviser Reviews - completing reports, providing coaching and feedback, identifying risks, and escalating any identified failings through to the Firm Compliance Partner.
• Provide regular feedback to senior management on any issues identified within the Quilter group.
• Conduct customer care calls as appropriate when needing to substantiate findings or to support competency sign off.
• Manage identified issues to conclusion through effective use of enhanced monitoring events action Plans and Governance actions plans.

NB: This is a SMCR certified role: CASS Oversight, Functions requiring qualifications & Manager of Certification employees

About You

To succeed in this role, you must be Level 4 Diploma qualified as a minimum and have proven experience in working within the financial services sector, ideally but not essentially within a T&C supervisory function.

We are looking for someone who is a self-starter, motivated, inquisitive by nature and can work independently on their own initiative.

• Must be computer literate and be familiar with Microsoft Office.
• Ability to follow compliance rules and enforce the standards as directed by the network.
• Strong communication skills in particular strong questioning skills and ability to display sound judgment when assessing risks and developing action plans.

Experience of Network/National and IFA/restricted advice models desirable but not essential to the role.

#LI-remote #LI-FD1 #Quilter

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.