Firm Compliance Partner
Benefits
5w PTO
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Role Overview:
- Deliver regulatory oversight.
- Maintain professional safety in the Quilter Financial Planning group, via successful discharge of supervisory responsibilities.
- Identifying and resolving customer, regulatory, reputational, and operational risks.
Responsibilities:
- Review AR bespoke characteristics and behaviors.
- Build strong relationships with AR Principals and work with them to help them achieve effective governance.
- Identify areas of concern in a firm’s current processes, set action plans and agree timescales for these to be rectified.
Requirements:
- High-level of experience within field supervision or compliance monitoring.
- Strong analytical approach and inquisitive nature.
- Experience of Network/National and IFA/restricted advice models and QCF Level 4 or equivalent.
Quilter
Quilter plc is a leading wealth management business, helping to enable brighter financial futures for every generation, overseeing £141.2 billion in customer investments. The business is transforming, continually modernising, and becoming even more customer centric, with ambition to stay one step ahead and make an even greater difference to the people and communities they serve, including their colleagues.