Regulatory Oversight Specialist
4 weeks ago
About the Role
Level: 3
Department: Supervision & Oversight
Location: United Kingdom (Hybrid) or Homebased, United Kingdom
Contract type: Permanent, Full-Time
As a Regulatory Oversight Specialist in Quilter, your role is to deliver regulatory oversight to appointed representative firms. The identification and resolution of customer, regulatory, reputational, and operational risks are a key component in establishing an effective control function.
You will work with AR Principals to help them achieve effective governance of their AR Firms & Advisers, whilst adhering to Network standards. This will be achieved through a program of firm attestation reviews and firm governance assessments.
You will identify areas of concern in a firm's current processes, set action plans and agree timescales for these to be rectified.
You will identify risks and escalate any identified concerns through to the Firm Oversight Manager, using the correct escalation channels and manage identified issues to conclusion.
You will be responsible for planning and managing your own workload as part of a highly skilled team.
About You
You will be a confident communicator, particularly skilled in questioning, and be able to display sound judgment when assessing risks and developing action plans. You will also have strong analytical approach and inquisitive nature.
You will bring a wealth of existing experience working within a compliance role and be competent in providing feedback to advisers/firm principals.
Experience of Network/National and IFA/restricted advice models and QCF Level 4 or equivalent.
A Compliance & Risk qualification is desirable.
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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