Compliance Risk Evaluator

4 weeks ago

London, Greater London, United Kingdom Quilter Full time
What the Hiring Manager Says

At Quilter, we are committed to continuous improvement and innovation. Our extensive expertise is trusted by numerous clients, and we aspire to enhance our impact on the communities we serve.

As our business evolves, we are becoming increasingly customer-focused. If you are eager to contribute your ideas and help us transform our operations, this is an exciting opportunity for you.

This position is part of the supervision and assurance team, responsible for safeguarding the professional and commercial integrity of the Quilter Group while minimizing customer risks, particularly in ongoing service provisions.

The role demands effective communication with various stakeholders, including Firms, Advisers, and internal departments.

About the Role

Level: 4

Department: Supervision & Oversight

Location: Remote or Hybrid

Contract type: Permanent, Full-Time

Non-Regulated

As a Risk Assessor, you will evaluate operational and regulatory risks associated with ongoing services at both Appointed Representative and Representative Intermediary levels, ensuring adherence to Treating Customers Fairly principles. Your role will involve understanding, analyzing, and monitoring risk triggers to recommend suitable mitigation strategies.

Key Responsibilities:
  • Analyze relevant risk data and make informed judgments.
  • Provide recommendations for risk assessment and monitoring.
  • Utilize risk management data to guide Field Supervisory activities.
  • Prepare pre-visit data for Firm Assessments and Adviser Annual Competency Assessments.
  • Engage with Advisers and Firms to clarify issues and enhance understanding.
  • Manage your workload effectively in accordance with established standards.
  • Serve as a knowledge hub for operational, regulatory, and customer risk practices.
  • Analyze management information to assess risks for ARs/RIs.
  • Identify data links to improve risk profiling of ARs/RIs.
  • Provide management information on adviser/firm risk trends to support proactive policy decisions.
  • Review outputs to identify trends and propose mitigation strategies.
  • Stay updated on regulatory and process changes to ensure risk assessments remain relevant.
  • Prepare cases for Governance Forums.
  • Monitor and assist in resolving escalation actions from Governance Meetings.
  • Identify potential risk areas based on regulatory themes and compliance feedback.
  • Conduct additional compliance checks as required.
  • Communicate with ARs/RIs to gather information and provide guidance.
  • Perform desktop KPI and risk monitoring.
About You

We value diverse backgrounds and encourage applications from all candidates. If you feel you meet most of the qualifications, we invite you to apply.

We seek candidates with extensive compliance experience, particularly in monitoring.

Applicants must hold a Level 4 diploma in Financial Planning/Advice, which is essential for this role.

You should demonstrate the ability to adhere to compliance regulations and enforce standards as directed.

Strong judgment skills in risk assessment and report development are crucial.

We are looking for team players with excellent verbal and written communication skills, a strong analytical mindset, and a keen attention to detail.

Our mission is to assist current and future generations in achieving financial security through expert guidance and investment solutions.

In a rapidly changing environment, our role in society is more significant than ever, and we are dedicated to using our expertise to support our customers during these challenging times.

We believe our unique talents and unwavering commitment to our clients set us apart, and we are eager to welcome individuals who share our vision.

We are passionate about fostering an inclusive culture where every contribution is valued, and all team members can thrive.

Core Benefits

Holiday: 26 days

Incentive Scheme: All employees can participate based on company performance

Pension Scheme: 10% non-contributory company pension scheme

Private Medical Insurance: Standard single cover with options for enhancement

Life Assurance: 4x salary, with options for enhancement

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

Additionally, we offer a variety of flexible benefits available through salary deductions.

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