[Hiring] Firm Compliance Partner @Quilter

Role Description

As a Firm Compliance Partner within Quilter Financial Planning, you will provide regulatory oversight for a varied portfolio of appointed representative firms. Your portfolio will include:

• Routine firms
• Smaller bespoke businesses suitable for primarily remote supervision

Occasional travel may be required based on the circumstances or risk profile of a firm.

You will take end-to-end ownership of your firms, including:

• Building effective working relationships with Firm Principals
• Developing a strong understanding of how their businesses operate
• Providing practical support and guidance while retaining independence to challenge constructively

Your responsibilities will include:

• Planning and completing firm attestation reviews and governance assessments
• Using evidence and professional judgement to assess each firm’s governance, systems, and controls
• Agreeing proportionate action plans for identified concerns or weaknesses
• Establishing clear timescales and monitoring progress through to completion
• Taking ownership of identified issues through to an appropriate conclusion
• Escalating material concerns through the relevant channels when required
• Supporting the pre-vetting of firms looking to join Quilter

This is a home-based role where supervision is delivered primarily through Microsoft Teams. You will:

• Plan and manage your own workload
• Contribute to a highly skilled and collaborative team
• Occasionally travel as appropriate to the needs of the firm or supervision being undertaken

Qualifications

• Wealth of existing experience working within a compliance role
• Competent in providing feedback to advisers/firm principals
• Experience of Network/National and IFA/restricted advice models (desirable)
• Compliance & Risk qualification (essential)
• QCF Level 4 or equivalent

Requirements

• Confident communicator, particularly skilled in questioning
• Sound judgment when assessing risks and developing action plans
• Strong analytical approach and inquisitive nature

Benefits

• Holiday: 182 hours (26 days)
• Quilter Incentive Scheme: All employees are eligible to participate in the incentive scheme
• 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
• Flexible benefits available to UK employees, payable via salary deduction