Firm Governance Assessor

4 weeks ago

Southampton, United Kingdom Quilter Full time
What the Hiring Manager Says

This is an exciting opportunity to join a team of compliance professionals who will support our AR Firm Principals with understanding their business and working with them to ensure their firm and the network remains safe.

You will have the opportunity to apply your knowledge and experience in working with the Network's AR Firms to support them and develop action plans, as required.

Working as part of the Supervision and Oversight Team, training and ongoing development is a priority and will be continuous to ensure that you have the confidence to deliver against the requirements of the role, but importantly you develop and grow personally."

Firm Oversight Manager

About the Role

Level : 3

Department: Supervision & Oversight

Location: Southampton, United Kingdom (Hybrid)

Contract type: Permanent, Full-Time

As a Firm Governance Assessor in Quilter, your role is to deliver regulatory oversight to appointed representative firms. The identification and resolution of customer, regulatory, reputational, and operational risks are a key component in establishing an effective control function.

You will work with AR Principals to help them achieve effective governance of their AR Firms & Advisers, whilst adhering to Network standards. This will be achieved through a program of firm attestation reviews and firm governance assessments.

You will identify areas of concern in a firm's current processes, set action plans and agree timescales for these to be rectified.

You will identify risks and escalate any identified concerns through to the Firm Oversight Manager, using the correct escalation channels and manage identified issues to conclusion.

You will be responsible for planning and managing your own workload as part of a highly skilled team.

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.

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

You will bring a wealth of existing experience working within a compliance role and be competent in providing feedback to advisers/firm principals.

Experience of Network/National and IFA/restricted advice models and QCF Level 4 or equivalent.

A Compliance & Risk qualification is desirable.

Our purpose is to help the generations today and tomorrow to prosper. That means we must guide people through the complexity of planning for their future, with the right financial advice and investment solutions, so that they can have more secure financial futures.

In this ever-changing world, we see that our role in society has never been more meaningful, and we are committed to using our expertise and care to guide our customers through these challenging and unprecedented times.

Our impressive talents and capabilities set us apart, but our unwavering commitment to our customers is what defines us. We truly believe that we have all the ingredients to be the very best in our industry, and we want great people with the care and creativity that we need, to help us get there.

We are passionate about building an inclusive culture where everyone's contribution is valued, and our people can thrive. No matter what your role is or where you sit, your voice will matter. We hope you like what you hear and are interested in learning more about joining us.

#LI-IC1 #LI-hybrid

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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