Authorisations Caseworker

About the Business

About the Role

Level: 2
Department: Supervision & Assurance (Operations) - Quilter Financial Planning
Location: Southampton, United Kingdom OR Homebased, United Kingdom

Working hours: Working either 35 hours OR 40 hours per week
Contract type: Permanent

Our Authorisations Team Case Workers form a key part in the overall onboarding experience of new Advisers and Firms joining Quilter, so it is vital that new applicants receive a positive and professional service when joining Quilter Financial Planning.

You will be undertaking all aspects of due diligence vetting checks, examples include:

• Completing identification and address validation
• Requesting and reviewing employer references
• Checking the employment history to ensure the individual is Fit & Proper
• Completing background checks
• Checking financial records and credit reports to assess financial stability
• Reviewing the Advisers employment history

You will complete the vetting of new applications, using all relevant information to assess if the adviser or firm meets all regulatory and business requirements, therefore should be onboarded with Quilter. This includes applying to the FCA, for regulatory authorisation, ensuring that robust evidence of due diligence activity is provided.

Authorisations Caseworkers make decisions based on procedures and Business Standards, which set out Quilter business acceptance appetite.

You will be part of a great team that is at the front line in supporting the Quilter growth strategy, whilst keeping our business, advisers and customers safe.

About You

The ideal candidate will ideally have:

• Strong experience working within a Financial Services and Regulatory background.

• You will take a positive and welcoming approach as you will be the first point of contact for those joining Quilter Financial Planning.

• You will naturally have an inquisitive mindset and assess the vetting findings, applying a risk based approach when decision making.

• You will have the ability to effectively and efficiently co-ordinate your day-to-day workload and applications, working under pressure whilst remaining focused and calm.

• You will be able to confidently liaise with stakeholders to keep them updated on the progress of your applications

• You will also be a team player who looks to support others

• You will be open to change, seeking opportunities for improvements and advocating technology

• A solid understanding of Microsoft Excel and Word would be beneficial

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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.