Risk Assessor

2 weeks ago

Southampton, Southampton, United Kingdom Quilter Full time

What the Hiring Manager Says

At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one step ahead and make an even greater difference to the people and communities we serve.

Our business is transforming, continually modernising and becoming even more customer centric. So if you want to be bold in the pursuit of your ambitions, bring new ideas, and challenge and evolve what we do, it's the perfect time to join us

Sitting within the supervision and assurance function this role will support the function in maintaining the professional and commercial safety of the Quilter Group and limit the potential for customer detriment, particularly associated with the provision of ongoing servicing.

The job will require a high degree of communication with Firms, Advisers, other internal departments and various Field and Remote Management roles.

Regulatory Oversight Manager

About the Role

Level : 4

Department: Supervision & Oversight

Location : Homebased, United Kingdom or Southampton, United Kingdom (hybrid)

Contract type : Permanent, Full-Time

Non-Regulated

Our Risk Assessor role involves assessing operational and regulatory risks relating to the provision of ongoing servicing at both an Appointed Representative and a Representative Intermediary level, ensuring Treating Customers Fairly principles are embedded. You'll ensure any risk triggers are understood, analysed, and monitored to allow recommendations of the most appropriate mitigation action.

The key responsibilities of this role are:

Ensure that all relevant risk data is analysed, and appropriate judgment is made. Provide risk assessment and monitoring recommendations. Utilise the risk management data to direct Field Supervisory activity. Provide pre-visit data in advance of Firm Assessment and Adviser Annual Competency Assessment activity. Engage with Advisers and Firms to clarify understanding and resolve issues. Manage workload effectively and in keeping with published standards. Be seen as a centre of excellence in terms of operational, regulatory and customer risk knowledge and practice. Analyse all relevant management information that is required to risk assess ARs/RIs. Determine relevant risk results and consider data links to enhance the risk profiling of ARs/RIs. Provide appropriate management information highlighting all relevant adviser/firm risks trends to enable proactive policy decisions to be made. Review outputs to identify trends and suggest mitigation actions. Keep up to date with all regulatory changes and process changes to ensure risk decisions remain appropriate. Prepare referral cases for Governance Forums. Monitor and assist in the closure of escalation actions from Governance Meetings. Identify potential areas of risk resulting from planned thematic regulatory themes, compliance feedback, other operational departments intelligence or external feedback. Complete additional compliance case checks as desktop monitoring requires. Communicate with ARs/RIs to elicit information and offer advice as appropriate. Complete desktop KPI and or risk monitoring.

About You

Applications from people with diverse backgrounds enables our inclusive organisation to thrive. If you feel you don't match our job description exactly, why not take a chance on yourself and apply? You could be exactly what this role needs.

We are looking for candidate who can bring a wealth of compliance experience, including monitoring.

You will have obtained your Level 4 diploma in Financial Planning/Advice, this is an essential requirement for the role.

The ability to follow compliance rules and enforce the standards as directed by the network.

You'll be able to display sound judgment when assessing risks and developing risk reports.

You will have a strong personal identity and corporate focus as well as being an excellent team player who is an excellent verbal and written communicator.

Have a strong analytical approach with an inquisitive nature.

You will possess strong attention to detail with an ability to understand and link risk indicators.

Core Benefits

Holiday: 26 days

Quilter Incentive Scheme: All employees are eligible to participate in our incentive scheme, based on the company's performance and their contribution to it

Pension Scheme: 10% non-contributory company pension scheme that can be boosted through personal contributions

Private Medical Insurance: Single cover as standard, cover can be increased at your own cost

Life Assurance: 4x your salary, cover can be increased at your own cost

Income Protection: 75% of salary payable after 26 weeks of absence

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

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