Regulatory Oversight Manager
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Job Description
Regulatory Oversight Manager at Quilter Financial Planning ensuring compliance and support for appointed representative firms. Delivering oversight, building relationships, and enhancing governance.
Responsibilities:
- Deliver regulatory oversight to appointed representative firms and registered Individuals
- Ensure Treating Customers Fairly principles are embedded
- Maintain professional safety in the Quilter Financial Planning group
- Identify and resolve customer, regulatory, reputational, and operational risks
- Build strong relationships with AR Principals
- Conduct bespoke inspection visits and complete reports
- Provide coaching and feedback to firms
Requirements:
- High-level of experience within field supervision or compliance monitoring
- Competent assessor for firms and advisers
- Strong relationship builder and confident communicator
- Strong analytical approach and inquisitive nature
- Experience of Network/National and IFA/restricted advice models
- QCF Level 4 or equivalent
- Compliance & Risk qualification is essential for this position.
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
- Flexible benefits to UK employees that you can choose from and pay for via a salary deduction.
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