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Compliance Governance Evaluator
3 months ago
What the Hiring Manager Says
"This is a remarkable 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 that their firm and the network remain secure.
You will have the chance to leverage your expertise and experience in working with the Network's appointed representative firms to support them and formulate action plans as necessary.
As a member of the Supervision and Oversight Team, continuous training and development are prioritized to ensure that you possess the confidence to meet the role's requirements while also fostering your personal growth."
Role Overview
Level: 3
Department: Supervision & Oversight
Location: Hybrid or Homebased, United Kingdom
Contract Type: Permanent, Full-Time
As a Compliance Governance Evaluator at Quilter, your primary responsibility is to provide regulatory oversight to appointed representative firms. Identifying and addressing customer, regulatory, reputational, and operational risks is essential for establishing an effective control function.
You will collaborate with appointed representative firm leaders to assist them in achieving effective governance of their firms and advisers while adhering to network standards. This will be accomplished through a structured program of firm attestation reviews and governance assessments.
Your role will involve pinpointing areas of concern within a firm's existing processes, developing action plans, and agreeing on timelines for resolution.
You will identify risks and escalate any concerns through the appropriate channels to the Firm Oversight Manager, managing identified issues to resolution.
You will be responsible for planning and managing your workload as part of a highly skilled team.
About You
We believe that applications from individuals with diverse backgrounds enable our inclusive organization to thrive. If you feel you don't match our job description exactly, we encourage you to apply. You could be just what this role requires.
You will be a confident communicator, particularly adept at questioning, and demonstrate sound judgment when assessing risks and developing action plans. A strong analytical mindset and inquisitive nature are essential.
You will bring extensive 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, along with QCF Level 4 or equivalent qualifications, is expected.
A Compliance & Risk qualification is desirable.
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 to increase coverage at your own expense.
Life Assurance: 4x your salary, with options to increase 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 range of flexible benefits that you can choose from and conveniently pay for via salary deduction.
