[Hiring] Regulatory Oversight Manager @Quilter

Role Description

This is an exciting opportunity to join a team of compliance professionals who will form an in-depth and solid relationship with our AR Firm Principals, understanding their business and working with them to ensure their firm and the network remains safe.

You will have the opportunity to apply your experience in working with AR Firms to coach and support them and develop unique action plans, bespoke to each individual firm within your own panel of up to 40 AR firms.

Working as part of the Supervision and Oversight Team, training and ongoing development is a priority and will be continuous to ensure that you have the confidence to deliver against the requirements of the role, but importantly you develop and grow personally.

As a Regulatory Oversight Manager in Quilter Financial Planning, your role is to deliver regulatory oversight to appointed representative firms and registered Individuals and ensure Treating Customers Fairly principles are embedded.

• The role is a compliance function that strives to maintain professional safety in the Quilter Financial Planning group, via successful discharge of supervisory responsibilities.
• The identification and resolution of customer, regulatory, reputational, and operational risks are a key component in establishing an effective control function.
• With your own panel of firms, you will review AR bespoke characteristics and behaviours identified by risk assessment as requiring supervision.
• You will build strong relationships with AR Principals and work with them to help them achieve effective governance of their AR Firms & Advisers whilst adhering to Network standards.
• This will be achieved through a program of both diarised annual assessments and bespoke firm visits and interactions, with you acting as the main compliance contact for the firm.
• Working with the firm and other QFP departments, you will identify areas of concern in a firm’s current processes, set action plans and agree timescales for these to be rectified.
• The role will also see you manage areas of risk to within Network appetite and identify and investigate areas of risk through Supervisory activity.
• You will conduct bespoke inspection visits, complete reports, provide coaching and feedback, identify risks and escalate any identified failings through to the Supervisions & Oversight Manager.
• You will use the correct escalation channels and manage identified issues to conclusion.
• This is a field and home-based role with an average of 2 days a week in the field of which you will be responsible for planning and scheduling your own firm visits.

Qualifications

• High-level of experience within field supervision or compliance monitoring.
• Competent assessor for firms and advisers.
• Strong relationship builder and confident communicator.
• Skilled in questioning and sound judgment when assessing risks and developing action plans.
• Strong analytical approach and inquisitive nature.
• Experience of Network/National and IFA/restricted advice models.
• QCF Level 4 or equivalent.
• A Compliance & Risk qualification is essential for this position.

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.