You will plan and deliver annual assessments, targeted inspections and supervisory visits, using evidence and professional judgement to assess the effectiveness of each firm’s governance, systems and controls. Where concerns or weaknesses are identified, you will clearly communicate your findings, agree proportionate action plans and ensure that issues are addressed within the required timescales.

You will take ownership of material or complex issues through to an appropriate conclusion, applying the relevant controls and escalating concerns through the appropriate channels where necessary. You will also support the pre-vetting of prospective firms looking to join Quilter, assessing compliance and conduct risks, providing appropriate challenge and contributing to informed onboarding decisions.

Alongside providing regulatory oversight for a designated panel of complex, higher-risk or higher-touch appointed representative firms, you will also provide technical support, coaching and oversight on complex supervisory matters to Firm Compliance Partners. You will contribute to quality calibration and help the team reach consistent, well-evidenced supervisory judgements, particularly where cases are complex or require a higher level of experience.

The decisions you make will directly support good customer outcomes by helping firms identify weaknesses early, strengthen their controls and deliver advice and ongoing service to the standards customers should expect.

This is a home and field-based role, with supervision delivered remotely and face to face according to the risk and needs of each firm. You should expect to spend an average of two days a week in the field, while planning and managing your own workload and contributing to a highly skilled and collaborative team.

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.

Experience of Network/National and IFA/restricted advice models is desirable.

A Compliance & Risk qualification is essential, and all candidates must be QCF Level 4 or equivalent.

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.

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.