Competence and Oversight Manager

4 weeks ago

London, United Kingdom Quilter Full time
Fixed Term Contract Duration - 6 Months

What the Hiring Manager says

This is an important interim role, working closely with the Head of Competence and Oversight, Advice, and the leadership team within the Private Client Advisor (QPCA) business. and across the Wealth Management Division. You will be analytical, considered and action orientated in your approach to ensuring appropriate compliance oversight is in place. This is a great development opportunity for the right candidate

About the Role

Level: 4

Department: Quilter Private Client Advisers (t/a Quilter Cheviot Financial Planning) - Wealth Management

Location: London, Birmingham, Exeter, Leeds, Chester, Carlisle

Contract type: FTC 6 months

Proactively managing the regular tasks for the Competence and Oversight team for a fixed period while the head of is linked to project work. These tasks are compliance and oversight based to ensure QPCA continues to comply with all regulatory requirements as well as Quilter Group requirements and to monitor trends and solutions as needs arise.
  • QCFP representation at QFP meetings/forums
  • Professional Services Channel - requests for regulatory input to new propositions
  • Regulatory sign off of financial planning template letters & reports
  • Regulatory input into financial planning processes
  • Financial Planner Risk dashboard collation from multiple sources
  • Trend identification and tracking for Complaints and Remediation
  • Training slide input and sign off
  • Complex financial planning case discussions (occasional) - regulatory viewpoint aligning to Principal Firm's requirements
  • Write monthly Compliance Blog to update teams on material changes to financial planning regulations, QFP processes and guidance
  • Identification of regional key risk indicators and monthly meetings with Regional Directors to flag and resolve
  • Financial Planner conduct review meetings with T&C managers monthly to provide impact recommendations
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.

To be successful in this role you will have demonstrable experience of operating in a financial services and/or wealth management environment from within a compliance, risk or regulatory relations position, with a good understanding of regulatory requirements, and compliance. Ideally you will possess advice business experience.

You can operate with high level of accuracy, attention to detail, ability to perform under pressure whilst also balancing multiple competing priorities and adapt to incoming demands.

You are naturally able to easily identify and solve problems, analysing and implementing the best solutions.

You can navigate ambiguous, complex environments and ensure understanding of messages through clear and concise communication.

You are a self-starter with a strong work ethic and the ability to work within a team or independently (depending on the nature of the activity) with credibility, professionalism, and strong personal integrity to represent the Wealth Management brand(s).

#LI-VS1 #QCFP

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

Benefit Allowance: A cash benefit allowance is payable in lieu of some of our core benefits.

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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