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Supervision and Competency Oversight Specialist

1 month ago

London, UK, United Kingdom Quilter Full time
About the Business

Working alongside our sister company, Quilter Cheviot, Quilter Cheviot Financial Planning provides highly personalised and comprehensive financial advice for individuals and families with needs such as significant investments, estate planning and preparing for retirement. We are part of Quilter plc, a leading provider of advice, investment platforms, multi-asset investment solutions and discretionary fund management which is listed on the London and Johannesburg stock exchanges and manages over £111.6 billion of client investments (as at March 2024).

Quilter Cheviot has been trusted by individuals and families for over 250 years, ensuring their investments are managed with precision and foresight. Today 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 are truly client centric; providing a highly personalised service to private clients, charities, trustees, and professional partners to help them navigate their financial future with confidence. We have presence throughout the UK, Ireland and Channel Islands as well as Dubai.

If you want to play a part in shaping the future of our business, bringing new ideas and challenge then now is a great time to join us.
•\tYou will form part of the Supervision and Competency Oversight team, providing regulatory supervision over our financial planning population and their adherence to the firm's Training and Competency scheme and the overarching control environment.
•\tWhilst this isn't a directly customer facing role, the duties you will perform will contribute to the overall positive outcomes for our clients.

About the Role

Level: 4

Department: Supervision and Competency Oversight

Location: Birmingham | Carlisle l Chester l Exeter l Leeds l London. The role will be linked to one or more of the regional offices with remote working for part of the week.

Contract type: Permanent

Responsibilities:
  • By providing supervision support for new and existing Financial Planners, you will oversee the operational financial planner activity from a competency and advice standards perspective, in order to manage risk and ensure good customer outcomes.
  • You will help deliver the key commitments outlined in the firm's Training and Competency scheme, for example the monitoring of Financial Planner KRIs, carrying out observations and holding 1:1 meetings.
  • You will support the initial and annual reassessment of competence, and Fit and Proper, processes for Financial Planners as required.
  • You will support the Supervision framework, including making relevant risk assessment recommendations, as appropriate.
  • You support Financial Planners by identifying any areas of improvement or training interventions, where required, including the establishment and monitoring of any agreed adviser development plans.
  • You will identify thematic issues and support the upskilling of the financial planning community where appropriate.
  • You will help identify trends where policy and processes could be improved to mitigate risks.
  • You will ensure all activity is recorded as per the relevant procedures dictate.
About You
  • You will have proven experience of providing supervisory support to regulated individuals with financial services, including carrying out skills observations/assessments.
  • You will have in depth knowledge of financial services and the regulatory environment, in particular in relation to Financial Planning regulations
  • Knowledge of the Certification regime.
  • You will have strong coaching and assessment skills.
  • Strong communication and stakeholder management skills, and the ability to work in matrix environments.
  • Able to display sound judgement when making recommendations.
  • Attention to detail.
Qualifications
  • Diploma qualified level 4 in Financial Advice
  • CF6 (or equivalent is desirable)
  • ER1 (or equivalent is desirable)
  • CF8 (or equivalent)
  • AF7 (or equivalent is desirable)
  • Advanced Diploma / Chartered level 6 in Financial Advice (desirable)
#LI-VS1 #QC #QCFP

Inclusion & Diversity

We value diversity and strive to promote inclusivity in all aspects of our culture. We believe in equal opportunities for all, ensuring that no applicant encounters less favourable treatment based on anything but their skills, qualifications, experience, and potential. We celebrate the unique contributions of a diverse workforce and create a respectful, nurturing environment where every colleague can thrive.

Values

Do the right thing: 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.
Always curious: We continuously seek new ideas and knowledge so we're one step ahead of our clients' needs. We look for inspiration everywhere and encourage experimentation, recognising that this is how we create brilliant solutions for brighter futures.
Embrace challenge: We aim high to transform our potential into meaningful outcomes. With ambition as our driving force and a steadfast commitment to growth, we succeed for the good of every generation.
Stronger together: Combining our diverse talents, we accomplish more collectively than we ever could do alone. We speak openly, actively listen, and support each other, and constructively challenge and embrace new ideas. We seek empowerment and demonstrate ownership and trust, with the confidence to make impactful decisions.

Core Benefits

Holiday: 182 hours (26 days)

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.

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.