Competence and Oversight Manager

3 weeks ago

London, United Kingdom Quilter Full time
Fixed Term Contract Duration - 6 Months

What the Hiring Manager says

This is an important interim role, working closely with the Head of Competence and Oversight, Advice, and the leadership team within the Private Client Advisor (QPCA) business. and across the Wealth Management Division. You will be analytical, considered and action orientated in your approach to ensuring appropriate compliance oversight is in place. This is a great development opportunity for the right candidate

About the Role

Level : 4

Department: Quilter Private Client Advisers (t/a Quilter Cheviot Financial Planning) – Wealth Management

Location : London, Birmingham, Exeter, Leeds, Chester, Carlisle

Contract type : FTC 6 months

Proactively managing the regular tasks for the Competence and Oversight team for a fixed period while the head of is linked to project work. These tasks are compliance and oversight based to ensure QPCA continues to comply with all regulatory requirements as well as Quilter Group requirements and to monitor trends and solutions as needs arise.

Driving forward specific deliverables including reporting and communications to support the effective running of the business with awareness and control of risks.

Representing the Competence and Oversight function in meetings where required to identify and discuss impacts of trends, actively influencing the delivery of ongoing strategic change to ensure the business can continually improve.

Compliance input and sign off of template suitability reports and documents, training presentations and processes.

Complaints and Remediation liaison and trend tracking to identify training needs or process improvements.

Providing clarity and updates to the Head of Competence and Oversight to ensure consistent understanding of risks, issues, and progress towards milestones.

Communication of regulatory and QFP requirements updates to all on a monthly basis.

Engagement around complex cases to give regulatory and client experience perspective.

Work with Quilter Financial Planning to ensure that all risk/compliance issues are appropriately documented and communicated.

Co-ordinate and prepare reports and presentations for QPCA forums other senior stakeholders.

About You

Applications from people with diverse backgrounds enables our inclusive organisation to thrive. If you feel you don't match our job description exactly, why not take a chance on yourself and apply? You could be exactly what this role needs.

To be successful in this role you will have demonstrable experience of operating in a financial services and/or wealth management environment with a good understanding of regulatory requirements, and compliance. Ideally you will possess advice business experience.

You can operate with high level of accuracy, attention to detail, ability to perform under pressure whilst also balancing multiple competing priorities and adapt to incoming demands.

You are naturally able to easily identify and solve problems, analysing and implementing the best solutions. 

You can navigate ambiguous, complex environments and ensure understanding of messages through clear and concise communication.

You are a self-starter with a strong work ethic and the ability to work within a team or independently (depending on the nature of the activity) with credibility, professionalism, and strong personal integrity to represent the Wealth Management brand(s).

#LI-VS1 #QCFP #QC

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

Benefit Allowance: A cash benefit allowance is payable in lieu of some of our core 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.

  • Competence and Oversight Manager

    1 day ago

    London, United Kingdom Quilter Full time

    Fixed Term Contract Duration - 6 Months What the Hiring Manager says This is an important interim role, working closely with the Head of Competence and Oversight, Advice, and the leadership team within the Private Client Advisor (QPCA) business. and across the Wealth Management Division. You will be analytical, considered and action orientated in your...

  • Competence and Oversight Manager

    2 weeks ago

    London, Greater London, United Kingdom QUILTER PLC Full time

    Fixed Term Contract Duration - 6 Months What the Hiring Manager says This is an important interim role, working closely with the Head of Competence and Oversight, Advice, and the leadership team within the Private Client Advisor (QPCA) business. and across the Wealth Management Division. You will be analytical, considered and action orientated in your...

  • Competence and Oversight Manager

    1 week ago

    London, United Kingdom Quilter Full time

    Fixed Term Contract Duration - 6 Months What the Hiring Manager says This is an important interim role, working closely with the Head of Competence and Oversight, Advice, and the leadership team within the Private Client Advisor (QPCA) business. and across the Wealth Management Division. You will be analytical, considered and action orientated in your...

  • Assurance and Oversight Manager

    14 hours ago

    London, United Kingdom Legal and General Full time

    Company Description Humanity is facing fundamental challenges, with the future of our planet hanging in the balance. As the principal investment arm of the Legal & General Group, our aim at Legal & General Capital is to generate long-term shareholder value, while helping build a better society. We seek opportunities to invest in sectors most in need of...

  • CASS Oversight Manager

    2 weeks ago

    London, United Kingdom Robert Walters Full time

    Looking for a CASS Oversight Specialist & experienced people leader. Please reach out if: - you have 10+ years working with CASS 6 & 7. - have covered CASS Reporting, Audit, Projects, Analysis of breaks (root cause analysis), and have handled changes in relation to CASS Reporting. - have led teams of 5+ in the past. CASS OVERSIGHT MANAGER PRIMARY...

  • Underwriting Oversight Manager

    4 weeks ago

    London, United Kingdom Munich Re Full time

    Company Great Lakes Insurance SE Location London, United Kingdom The role could be based in London or Munich. Great Lakes Insurance SE (Great Lakes) is the specialty insurance solution provider for the Munich Re Group. Great Lakes offers market access, primary insurance operations and expertise to the Munich Re Group. By running primary...

  • eTrading Oversight Manager

    2 weeks ago

    London, United Kingdom NatWest Markets Full time

    Join us as an eTrading Oversight ManagerThis key role will see you delivering second line of defence oversight (2LOD) of algorithmic and electronic trading activitiesWe'll look to you to provide expertise, insightful analysis and risk opinions to the business and policy standard owners on the identification, assessment and control of relevant risksYou'll...

  • eTrading Oversight Manager

    1 week ago

    London, Greater London, United Kingdom NatWest Group Full time

    Join us as an eTrading Oversight ManagerThis key role will see you delivering second line of defence oversight (2LOD) of algorithmic and electronic trading activitiesWe'll look to you to provide expertise, insightful analysis and risk opinions to the business and policy standard owners on the identification, assessment and control of relevant risksYou'll...

  • eTrading Oversight Manager

    2 weeks ago

    London, United Kingdom NatWest Group Full time

    Join us as an eTrading Oversight ManagerThis key role will see you delivering second line of defence oversight (2LOD) of algorithmic and electronic trading activitiesWe'll look to you to provide expertise, insightful analysis and risk opinions to the business and policy standard owners on the identification, assessment and control of relevant...

  • eTrading Oversight Manager

    2 weeks ago

    London, United Kingdom NatWest Group Full time

    Join us as an eTrading Oversight Manager This key role will see you delivering second line of defence oversight (2LOD) of algorithmic and electronic trading activities We'll look to you to provide expertise, insightful analysis and risk opinions to the business and policy standard owners on the identification, assessment and control of relevant risks...

  • Assurance and Oversight Manager

    4 weeks ago

    London, Greater London, United Kingdom LegalAndGeneral Full time

    Job DescriptionWe're looking for an Assurance and Oversight Manager to join Legal & General Capital (LGC) in LondonYou'll play a key role in ensuring that LGC's processes remain fit for purpose, policy compliance is maintained and third parties meet LGC's expectations. You'll also be responsible for maintaining a robust 1st line assurance function that...

  • Risk Oversight Manager

    7 days ago

    London, United Kingdom eFinancialCareers Full time

    Join us as a Risk Oversight Manager - In this high profile role, you'll be empowered to make decisions on day-to-day matters on behalf of management and escalate where appropriate - You'll have an opportunity to develop and deploy a holistic risk skill set, while acting as a key interface for the customer businesses within the commercial and institutional...

  • Assurance and Oversight Manager

    1 week ago

    London, United Kingdom Legal & General Full time

    Job Description We’re looking for an Assurance and Oversight Manager to join Legal & General Capital (LGC) in London!You’ll play a key role in ensuring that LGC’s processes remain fit for purpose, policy compliance is maintained and third parties meet LGC’s expectations. You’ll also be responsible for maintaining a robust 1st line assurance...

  • Assurance and Oversight Manager

    1 week ago

    London, United Kingdom LegalAndGeneral Full time

    Job DescriptionWe’re looking for an Assurance and Oversight Manager to join Legal & General Capital (LGC) in London!You’ll play a key role in ensuring that LGC’s processes remain fit for purpose, policy compliance is maintained and third parties meet LGC’s expectations. You’ll also be responsible for maintaining a robust 1st line assurance function...

  • Assurance and Oversight Manager

    2 days ago

    London, Greater London, United Kingdom Legal & General Investment Managment Full time

    Company Description Humanity is facing fundamental challenges, with the future of our planet hanging in the balance. As the principal investment arm of the Legal & General Group, our aim at Legal & General Capital is to generate long-term shareholder value, while helping build a better society. We seek opportunities to invest in sectors most in need of...

  • Assurance and Oversight Manager

    6 days ago

    London, United Kingdom Legal & General Full time

    Humanity is facing fundamental challenges, with the future of our planet hanging in the balance. As the principal investment arm of the Legal & General Group, our aim at Legal & General Capital is to generate long-term shareholder value, while helping build a better society. We seek opportunities to invest in sectors most in need of investment and...

  • Accounts Oversight, Senior Associate

    4 weeks ago

    London, United Kingdom eFinancialCareers Full time

    **Who we are looking for** As part of the Global Delivery Team UK (EMEA), you will work in a client facing role within State Street's daily operations department. As part of the daily role, the Accounts Oversight Specialist is acting in an oversight capacity, responsible for the investmentaccounts for Life & Pension and OEIC funds, ensuring accuracy,...

  • Coverholder Oversight Assistant

    4 weeks ago

    London, United Kingdom Bell&Clements Full time

    Coverholder Oversight Assistant (M/F/d)**Location** London, United Kingdom **Introduction** Bell & Clements is a specialist insurance company offering expertise in underwriting, broking and capacity management provisions for Excess and Surplus (E&S) lines insurance solutions. The unique combination of broking and underwriting divisions provides the ability...

  • Assurance and Oversight Manager

    6 days ago

    London, United Kingdom Legal & General Full time

    Humanity is facing fundamental challenges, with the future of our planet hanging in the balance. As the principal investment arm of the Legal & General Group, our aim at Legal & General Capital is to generate long-term shareholder value, while helping build a better society. We seek opportunities to invest in sectors most in need of investment and...

  • Assurance and Oversight Manager

    6 days ago

    London, United Kingdom Legal & General Full time

    Humanity is facing fundamental challenges, with the future of our planet hanging in the balance. As the principal investment arm of the Legal & General Group, our aim at Legal & General Capital is to generate long-term shareholder value, while helping build a better society. We seek opportunities to invest in sectors most in need of investment and...