Regulatory Oversight Specialist

2 weeks ago

London, Greater London, United Kingdom Quilter Full time
About the Role

At Quilter, we're seeking a skilled Regulatory Oversight Specialist to deliver regulatory oversight to appointed representative firms. As a key component in establishing an effective control function, you'll identify and resolve customer, regulatory, reputational, and operational risks.

The ideal candidate will work with AR Principals to achieve effective governance of their AR Firms & Advisers, adhering to Network standards through a program of firm attestation reviews and firm governance assessments.

Your responsibilities will include identifying areas of concern in a firm's current processes, setting action plans, and agreeing timescales for rectification. You'll also escalate identified concerns through to the Firm Oversight Manager, using correct escalation channels, and manage issues to conclusion.

This is a home-based remote firm oversight role, where you'll be responsible for planning and managing your own workload as part of a highly skilled team.

About You

You'll be a confident communicator, skilled in questioning, with sound judgment when assessing risks and developing action plans. Strong analytical skills and an inquisitive nature are essential.

Experience with Network/National and IFA/restricted advice models, and a QCF Level 4 or equivalent Compliance & Risk qualification, is desirable.

Inclusion & Diversity

We value diversity and strive to promote inclusivity in all aspects of our culture. We believe in equal opportunities for all, ensuring no applicant encounters less favourable treatment based on anything but their skills, qualifications, experience, and potential.

Values

Do the right thing: We act with integrity and are 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 to stay one step ahead of our clients' needs.
Embrace challenge: We aim high to transform our potential into meaningful outcomes, with ambition as our driving force and a steadfast commitment to growth.
Stronger together: We combine our diverse talents to accomplish more collectively than we ever could alone, speaking openly, actively listening, and supporting each other.

Core Benefits

Holiday: 182 hours (26 days)
Quilter Incentive Scheme: All employees are eligible to participate in the 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.
Income Protection: 75% of salary, less state benefits, payable after 26 weeks of absence.
Healthcare Cash Plan: Jersey employees only.

In addition to our core benefits, we offer a range of flexible benefits to UK employees that you can choose from and pay for conveniently via a salary deduction.

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