AR Firm Compliance Assessor

3 weeks ago

London, Greater London, United Kingdom Quilter Full time

What the Hiring Manager Says

"This is a unique opportunity to become part of a dedicated team of compliance experts who will assist our appointed representative firm leaders in comprehending their operations and collaborating with them to ensure their firm and the network maintain a secure environment.

You will leverage your expertise and experience while working with the Network's appointed representative firms to support them and formulate necessary action plans.

As a member of the Supervision and Oversight Team, continuous training and development are paramount, ensuring you possess the confidence to meet the role's demands while also fostering your personal growth."

Firm Oversight Manager

About the Role

Level: 3

Department: Supervision & Oversight

Location: Hybrid or Homebased, United Kingdom

Contract type: Permanent, Full-Time

As a Compliance Governance Evaluator at Quilter, your responsibility is to provide regulatory oversight to appointed representative firms. Identifying and addressing customer, regulatory, reputational, and operational risks is crucial in establishing an effective control function.

You will collaborate with appointed representative firm leaders to facilitate effective governance of their firms and advisers while adhering to Network standards. This will be accomplished through a series of firm attestation reviews and governance evaluations.

You will pinpoint areas of concern within a firm's existing processes, establish action plans, and agree on timelines for rectification.

You will recognize risks and escalate any identified issues to the Firm Oversight Manager, utilizing the appropriate escalation channels and managing identified concerns to resolution.

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

About You

We believe that applications from individuals with diverse backgrounds enhance our inclusive organization. If you feel you do not meet our job description perfectly, consider applying anyway; you might be just what this role requires.

You will be a confident communicator, particularly adept at questioning, and able to demonstrate sound judgment when assessing risks and formulating action plans. A strong analytical mindset and inquisitive nature are essential.

You will bring substantial experience from a compliance role and be proficient in providing feedback to advisers and firm leaders.

Familiarity with Network/National and IFA/restricted advice models and QCF Level 4 or equivalent is expected.

A Compliance & Risk qualification is preferred.

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 enhanced through personal contributions.

Private Medical Insurance: Single cover as standard, with options for increased coverage at your own expense.

Life Assurance: 4x your salary, with options for increased coverage at your own expense.

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

In addition to our core benefits, we offer a variety of flexible benefits that you can select and conveniently pay for through salary deductions.

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