Regulatory Oversight Manager

🕒 July 3

🇬🇧 United Kingdom – Remote

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

🇬🇧 UK Skilled Worker Visa Sponsor

This company has sponsored UK Skilled Worker visas in the past.

Apply Now

Find Similar Remote Jobs

Set Up Email Alert For New Jobs

📊 Check your resume score for this job

Improve your chances of getting an interview by checking your resume score before you apply.

Upload Resume

Quilter

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

💼 Consulting

🛡️ Insurance

💸 Finance

Consulting • Insurance • Finance

Quilter is one of the biggest names in financial services, committed to responsible business practices and delivering exceptional support to customers. It fosters an inclusive and diverse workplace culture, emphasizing the importance of employee wellbeing, career growth, and flexibility in work arrangements. Quilter also engages in community initiatives, including programs to assist veterans and military reservists, showcasing its dedication to social responsibility.

📋 Description

• 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 through supervisory responsibilities • Identify and resolve customer, regulatory, reputational, and operational risks • Manage a panel of up to 40 AR firms • Review AR firm characteristics and behaviours identified by risk assessment as requiring supervision • Build relationships with AR Principals and support effective governance of their firms and advisers • Conduct diarised annual assessments, bespoke firm visits, and other interactions • Act as the main compliance contact for assigned firms • Identify process concerns, set action plans, and agree remediation timescales • Manage risk within Network appetite and investigate risk through supervisory activity • Review risk assessment results and risk analysis data to identify firm and adviser risk and apply controls • Conduct bespoke inspection visits and complete reports • Provide coaching and feedback • Identify and escalate failings through the Supervisions & Oversight Manager • Manage identified issues through to conclusion • Plan and schedule firm visits, averaging two field days per week

🎯 Requirements

• High-level experience within field supervision or compliance monitoring • Experience as a competent assessor for firms and advisers • Strong relationship-building and communication skills • Skilled in questioning and risk assessment • Sound judgment when developing action plans • 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

🏖️ Benefits

• Car allowance • Continuous training and ongoing development • 182 hours holiday (26 days) • Quilter Incentive Scheme • Non-contributory company pension scheme, boostable through personal contributions • Private Medical Insurance • 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 for UK employees via salary deduction • Flexible working options