Firm Governance Assessor

About the Business

Quilter plc is a leading provider of financial advice, investments and wealth management, committed to being the UK’s best wealth manager for clients and their advisers. Quilter oversees £111.6 billion in customer investments (as at 31 March 2024). It has an adviser and customer offering spanning financial advice, investment platforms, multi-asset investment solutions, and discretionary fund management. The business is comprised of two segments: Affluent and High Net Worth.

Affluent encompasses the financial planning business, Quilter Financial Planning, the Quilter Investment Platform and Quilter Investors, the multi-asset investment solutions business.

High Net Worth includes the discretionary fund management business, Quilter Cheviot, together with Quilter Cheviot Financial Planning.

At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one step ahead and make an even greater difference to the people and communities we serve.

Our business is transforming, continually modernising, and becoming even more customer centric. So, if you want to be bold in the pursuit of your ambitions, bring new ideas, and challenge and evolve what we do, it’s the perfect time to join us!

About the Role

Level: 3

Department: Supervision & Oversight (QFP)

Location:  Home-based

Contract type: Permanent, Full-Time

As a Firm Governance Assessor in Quilter Financial Planning, your role is to deliver regulatory oversight to appointed representative firms.  The identification and resolution of customer, regulatory, reputational, and operational risks are a key component in establishing an effective control function. 

 

You will work with AR Principals to help them achieve effective governance of their AR Firms & Advisers, whilst adhering to Network standards. This will be achieved through a program of firm attestation reviews and firm governance assessments.

 

You will identify areas of concern in a firm’s current processes, set action plans and agree timescales for these to be rectified.

 

You will identify risks and escalate any identified concerns through to the Firm Oversight Manager, using the correct escalation channels and manage identified issues to conclusion.

 

This is a home-based remote firm oversight role and you will be responsible for planning and managing your own workload as part of a highly skilled team.

About You

You will be a confident communicator, particularly skilled in questioning, and be able to display sound judgment when assessing risks and developing action plans. You will also have strong analytical approach and inquisitive nature.

Experience of Network/National and IFA/restricted advice models and QCF Level 4 or equivalent Compliance & Risk qualification is desirable.

#LI-IC1 #LI-remote

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.