Firm Governance Specialist

2 months ago


London, Greater London, United Kingdom Quilter Full time
About the Role

Job Title: Firm Governance Assessor

Department: Supervision & Oversight

Location: Southampton, United Kingdom (Hybrid) or Homebased, United Kingdom

Contract Type: Permanent, Full-Time

As a key member of the Supervision and Oversight Team at Quilter, you will play a critical role in delivering regulatory oversight to appointed representative firms. Your primary responsibility will be to identify and mitigate customer, regulatory, reputational, and operational risks, ensuring the establishment of an effective control function.

You will work closely with AR Principals to help them achieve effective governance of their AR Firms & Advisers, adhering to Network standards. This will involve conducting firm attestation reviews and firm governance assessments, identifying areas of concern, and setting action plans with agreed timescales for rectification.

You will be responsible for escalating identified concerns through the correct channels and managing issues to conclusion. Additionally, you will plan and manage your own workload as part of a highly skilled team.

About You

We welcome applications from individuals with diverse backgrounds, as this enables our inclusive organization to thrive. If you feel you don't match our job description exactly, we encourage you to take a chance and apply. You could be exactly what this role needs.

You will be a confident communicator, skilled in questioning, and able to display sound judgment when assessing risks and developing action plans. You will also possess a strong analytical approach and inquisitive nature. Experience working within a compliance role is essential, and you should be competent in providing feedback to advisers/firm principals.

Experience of Network/National and IFA/restricted advice models and QCF Level 4 or equivalent is required. A Compliance & Risk qualification is desirable.

Core Benefits

We offer a range of benefits to support your well-being and career development:

  • 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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