Business Assurance Specialist

4 weeks ago

London, Greater London, United Kingdom Quilter plc Full time

About the Business

We are part of Quilter plc, a leading provider of advice, investment platforms, and discretionary fund management. Our company is listed on the London and Johannesburg stock exchanges and manages over £111. We are one of the UK's largest wealth management firms, offering expert discretionary investment management and financial planning through our sister company, Quilter Cheviot Financial Planning.

We provide highly personalised and comprehensive financial advice for individuals and families with needs such as significant investments, estate planning, and preparing for retirement. If you want to play a part in shaping the future of our business, bringing new ideas and challenges, then now is a great time to join us.

Our Team

Our team is responsible for providing an independent oversight of the effective operations of the core compliance and regulatory risk control activities. This involves reviewing and assessing financial advice, helping to refine key processes, and ensuring that the advice checked meets all regulatory expectations.

Your Responsibilities
  • Deliver Business Assurance control checks and Business Assurance reviews, based on the framework of QCFPs business standards and processes.
  • Manage your workload to complete business assurance activity within acceptable timescales.
  • Work collaboratively with financial planners and paraplanners where cases require collaboration while maintaining professional impartiality.
  • Adhere to all Business Assurance policies and procedures.
About You
  • You will have experience of working in a Financial Service environment.
  • You will have a broad understanding of the Financial Planning markets in terms of Advice, Product Providers & Lenders.
  • You will have a broad knowledge and understanding of Financial Service Regulation such as RDR, MIFID II, SDR, Supervision and Oversight, Data Protection, Anti-Money Laundering, Financial Crime, Data Security, and Consumer Duty.
  • You will have a professional attitude, including a professional telephone manner and professional communication skills.
  • You will be able to cope under pressure and react quickly to changing priorities.
  • You will have a good working knowledge of Excel, Word, and PowerPoint, as well as management information via systems such as Xplan and Worksmart.
  • You will contribute to building a great environment to work in.
Qualifications
  • You will hold a Diploma Level 4 qualification.
  • You will have AF3 Pension Transfers (or equivalent preferred).
  • You will have CF6 (or equivalent preferred).
  • You will have ER1 (or equivalent preferred).
  • You will have CF8 (or equivalent preferred).

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