Firm Governance Specialist
3 weeks ago
As a Firm Governance Assessor at Quilter, you will be responsible for delivering regulatory oversight to appointed representative firms. This involves identifying and resolving customer, regulatory, reputational, and operational risks to establish an effective control function.
### Key Responsibilities
* Work with AR Principals to achieve effective governance of their AR Firms & Advisers, adhering to Network standards.
* Conduct firm attestation reviews and firm governance assessments to identify areas of concern and set action plans.
* Identify risks and escalate concerns to the Firm Oversight Manager using the correct escalation channels.
* Manage identified issues to conclusion and plan and manage your own workload as part of a highly skilled team.
### Requirements
* Confident communicator with strong questioning skills and sound judgment when assessing risks and developing action plans.
* Strong analytical approach and inquisitive nature.
* Experience working within a compliance role and providing feedback to advisers/firm principals.
* Experience of Network/National and IFA/restricted advice models and QCF Level 4 or equivalent.
* Compliance & Risk qualification desirable.
### Benefits
* 26 days holiday.
* 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.
### Flexible Benefits
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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