Risk Coordinator

4 weeks ago

Southampton, Southampton, United Kingdom Quilter Full time
About the Role Level: 2 Department: Affluent - Risk & Oversight Location: Southampton - Hybrid, 1-2 days in the office (but flexible) Contract type: Permanent Non regulated In this role, you will play a key part in ensuring the smooth operation and compliance of the Risk Management Team (RMT). Your responsibilities will include supporting the ongoing maintenance, administration, and timely completion of Firms and Advisers Fitness and Propriety Declarations to meet regulatory requirements. You will also be responsible for internal reporting and MI reconciliation, ensuring that data is accurate and up to date. A key aspect of the role is providing administrative support for disciplinary sanctions and monitoring the Risk Management Mailbox to ensure queries and issues are addressed promptly. You will help maintain internal process flows and act as a liaison point between Firm Compliance Partners, Remote Competency Assessors, and the wider Supervision & Oversight function. Regular communication via Teams calls with internal teams and advisers will be an essential part of this role, ensuring alignment and smooth collaboration. You may also handle outbound calls occasionally to follow up on required information or address compliance matters. Additionally, you will coordinate with Wealth Advisers to manage their Statement of Professional Standing (SPS) renewals, ensuring that CPD records are accurate and complete. System support is also a critical part of your duties, including maintaining adviser records and ensuring compliance with company procedures. You will manage DBS checks for current advisers, reporting any findings to senior management. Furthermore, you will be involved in implementing updates within the Worksmart system and administrating financial monitoring requests. Handling requests and responses from external bodies such as the FCA, Providers, and Lenders will also fall under your remit, alongside managing escalations and handoffs to other teams using internal systems like Dynamics and Power BI. Supporting the development and improvement of processes within the RMT, you will also coordinate approvals for Gifts and Hospitality, Conflicts of Interest, and Other Business Interests. Additionally, you will manage workflow activities such as specialist licence requests, role transfers, and permissions, all while ensuring good customer outcomes and contributing to a positive working environment. You may also be asked to assist with ad-hoc tasks across the RMT and other teams as required. About You Applications from people with diverse backgrounds enables our inclusive organisation to thrive. If you feel you don't match our job description exactly, why not take a chance on yourself and apply? You could be exactly what this role needs. To succeed in this role, you will need a good understanding of the Financial Planning market, particularly in relation to Advice, Providers, Lenders, platforms, and products. You should have knowledge of how Advisers and Appointed Representative (AR) businesses operate, enabling you to support them effectively. Your excellent organisational skills will allow you to manage a range of tasks and responsibilities, while your confident, self-motivated nature will help you to build positive relationships across the business. Strong interpersonal skills, along with an excellent telephone manner and written communication abilities, are essential, especially as you will regularly interact with colleagues and advisers via Teams calls, and handle outbound calls when necessary. You will be proficient in Microsoft Excel, Word, and PowerPoint, with a strong eye for detail and a proactive approach to solving problems and improving processes. You must be able to follow procedures accurately and be comfortable working within established processes. As someone who embraces change, you will be keen to find new and better ways of working that enhance customer outcomes. Collaboration is key in this role, so working effectively with colleagues within the team and across the business is crucial. You will be focused on delivering exceptional service and operating efficiently, taking ownership of decisions and tasks with a mindset of treating the business as your own. A desire to grow within the team and progress to other roles is important, and having or working towards Financial Services qualifications would be advantageous. You should be committed to building your knowledge through self-learning and sharing best practices with colleagues. The ability to manage workflows within defined timescales is essential for ensuring the smooth operation of the team's processes. Our Values Do the right thing: We act with integrity and are proudly committed to going above and beyond in service of our clients and the support we provide our communities. Always curious: We continuously seek new ideas and knowledge so we're one step ahead of our clients' needs. We look for inspiration everywhere and encourage experimentation, recognising that this is how we create brilliant solutions for brighter futures. Embrace challenge: We aim high to transform our potential into meaningful outcomes. With ambition as our driving force and a steadfast commitment to growth, we succeed for the good of every generation. Stronger together: Combining our diverse talents, we accomplish more collectively than we ever could do alone. We speak openly, actively listen, and support each other, and constructively challenge and embrace new ideas. We seek empowerment and demonstrate ownership and trust, with the confidence to make impactful decisions. #LI-FD1 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 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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