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.
Quilter is a leading provider of advice, investments and wealth management in the UK and internationally. Managing over £100 billion of investments on behalf of over 900,000 customers, we operate in one of the largest wealth markets in the world – and one that is growing.
At Quilter, we're committed to creating an inclusive culture that embraces diversity. We promote equal opportunities and make sure no applicant receives less favourable treatment on the grounds of gender, marital status, nationality, ethnicity, age, sexual orientation, responsibilities for dependants, physical or mental disability. We select candidates for interview based purely on their skills, qualifications, experience and potential.
About the Role
- Conduct sole trader annual governance events
- Explain and enforce the oversight contract with Appointed Representatives and Registered Individuals detailing the requirements, methods of assessment used and timescales to be applied
- Educate Appointed Representatives and Registered Individuals in respect of their compliance requirements , “Treating Customers Fairly” responsibilities and achieving Good Customer Outcomes
- Deliver the risk assessment regime to Appointed Representatives and Registered Individuals and assess the skills, competencies and knowledge required to maintain competence
- Conduct Adviser Reviews- completing reports, providing coaching and feedback, identifying risks and escalating any identified failings through to the Field Risk Manager
- Provide regular feedback to senior management on any issues identified within the Quilter Financial Planning group
- Conduct customer care calls as appropriate when needing to substantiate findings or to support competency sign off
- Manage identified issues to conclusion through effective use of enhanced monitoring events action Plans and Governance actions plans
- Use the correct escalation channels in the event of subjective decision makingDraft periodic bespoke reports for key firms where required Collaborate with other management functions as required
- QCF Level 4 or equivalent Compliance & Risk qualification/Relevant Mortgage qualification
- Current experience in compliance
- Experience of Network/National and IFA/restricted advice models desirable
- Ability to follow compliance rules and enforce the standards as directed by the network