Financial Services Compliance Specialist
2 weeks ago
About the Role
As a Business Assurance Control Professional at Quilter Cheviot Financial Planning, you will play a crucial role in ensuring the effective operations of our core compliance and regulatory risk control activities.
Key Responsibilities
• Deliver Business Assurance control checks and reviews, based on the framework of our business standards and processes.
• Manage your workload to complete business assurance activity within acceptable timescales.
• Work constructively with financial planners and paraplanners where cases require collaboration, while maintaining professional impartiality.
• Adhere to all Business Assurance policies and procedures.
About You
• Experience of working in a Financial Service environment.
• A broad understanding of the Financial Planning markets in terms of Advice, Product Providers & Lenders.
• 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.
• A professional attitude including a professional telephone manner and professional communication skills are essential.
• You will need the ability to cope under pressure and react quickly to changing priorities.
• You will need a good working knowledge of Excel, Word and PowerPoint.
Qualifications
• Diploma Level 4 Qualified
• AF3 Pension Transfers (or equivalent preferred)
• CF6 (or equivalent preferred)
• ER1 (or equivalent preferred)
• CF8 (or equivalent preferred)
Benefits
• 182 hours (26 days) holiday.
• Quilter Incentive Scheme: All employees are eligible to participate in incentive scheme, to incentivise business performance and their contribution.
• Pension Scheme: A non-contributory company pension scheme that can be boosted through personal contributions.
• Private Medical Insurance: Single cover as standard with options to increase cover to include your partner or children.
• Life Assurance: 4x your salary.
• Healthcare Cash Plan: Jersey employees only.
About Quilter
We value diversity and strive to promote inclusivity in all aspects of our culture. 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. Combining our diverse talents, we accomplish more collectively than we ever could do alone.
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