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Regulatory Oversight Specialist

2 months ago

London, Greater London, United Kingdom Quilter Full time

Overview from the Hiring Manager

"This role presents a unique opportunity to be part of a dedicated team of compliance experts who will assist our appointed representative firms in navigating their business landscape while ensuring adherence to regulatory standards and maintaining the integrity of our network."

In this position, you will leverage your expertise to collaborate with our appointed representative firms, providing support and developing necessary action plans to address any identified issues.

As a member of the Supervision and Oversight Team, you will benefit from continuous training and professional development, empowering you to meet the demands of the role and foster your personal growth.

Role Responsibilities

Level: 3

Department: Supervision & Oversight

Employment Type: Permanent, Full-Time

As a Governance Compliance Assessor at Quilter, your primary responsibility will be to provide regulatory oversight to our appointed representative firms. Identifying and addressing customer, regulatory, reputational, and operational risks will be essential in establishing a robust control framework.

You will work closely with appointed representatives to ensure effective governance of their firms and advisers, aligning with network standards. This will involve conducting firm attestation reviews and governance assessments.

Your role will include pinpointing areas of concern within a firm's existing processes, formulating action plans, and establishing timelines for resolution.

You will also be tasked with identifying risks and escalating any concerns to the Firm Oversight Manager through the appropriate channels, managing issues until they are resolved.

Additionally, you will be responsible for organizing and managing your workload within a highly skilled team.

Candidate Profile

We value diversity and encourage applications from individuals with varied backgrounds. If you feel you may not meet every requirement, we still invite you to apply, as you may possess the qualities we are seeking.

The ideal candidate will be an effective communicator, skilled in inquiry, and capable of exercising sound judgment when evaluating risks and developing action plans. A strong analytical mindset and inquisitive nature are essential.

You should have substantial experience in a compliance role and be adept at providing constructive feedback to advisers and firm principals.

Familiarity with Network/National and IFA/restricted advice models, along with a QCF Level 4 qualification 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, which is based on the company's performance and individual contributions.

- Pension Scheme: 10% non-contributory company pension scheme, with options for personal contributions.

- Private Medical Insurance: Standard single cover, with options for increased coverage at personal expense.

- Life Assurance: Coverage of 4x your salary, with options for increased coverage at personal 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 can be selected and conveniently paid for through salary deductions.