Firm Compliance Partner (Field Risk Manager)

Job title:

Firm Compliance Partner (Field Risk Manager)

Company

Quilter

Job description

What the Hiring Manager SaysAt 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!“This is an exciting opportunity to join a team of compliance professionals who will form an in depth and solid relationship with our AR Firm Principals, understanding their business and working with them to ensure their firm and the network remains safe.
You will have the opportunity to apply your experience in working with AR Firms to coach and support them and develop unique action plans, bespoke to each individual firm within your own panel of up to 40 AR firms.
Working as part of the Supervision and Oversight Team, training and ongoing development is a priority and will be continuous to ensure that you have the confidence to deliver against the requirements of the role, but importantly you develop and grow personally.”Supervision & Oversight ManagerAbout the RoleLevel: 4Department: Supervision & Oversight (QFP)Location: Homeworker, United Kingdom (Field Based, travelling around the Southeast/Kent area)Contract type: Permanent, Full-TimeNon-RegulatedAs a Firm Compliance Partner in Quilter Financial Planning, your role is to deliver regulatory oversight to appointed representative firms and registered Individuals and ensure Treating Customers Fairly principles are embedded.The role is a compliance function that strives to maintain professional safety in the Quilter Financial Planning group, via successful discharge of supervisory responsibilities. The identification and resolution of customer, regulatory, reputational, and operational risks are a key component in establishing an effective control function.With your own panel of firms, you will review AR bespoke characteristics and behaviours identified by risk assessment as requiring supervision.You will build strong relationships with AR Principals and work with them to help them achieve effective governance of their AR Firms & Advisers whilst adhering to Network standards. This will be achieved through a program of both diarised annual assessments and bespoke firm visits and interactions, with you acting as the main compliance contact for the firm.Working with the firm and other QFP departments, you will identify areas of concern in a firm’s current processes, set action plans and agree timescales for these to be rectified.The role will also see you manage areas of risk to within Network appetite and identify and investigate areas of risk through Supervisory activity as well as review and assess risk assessment results and risk analysis data to identify AR firm and adviser risk and apply appropriate controls.You will conduct bespoke inspection visits, complete reports, provide coaching and feedback, identify risks and escalate any identified failings through to the Supervisions & Oversight Manager, use the correct escalation channels and manage identified issues to conclusion.This is a field and home-based role with an average of 2 days a week in the field of which you will be responsible for planning and scheduling your own firm visits.About YouApplications from people with diverse backgrounds enables our inclusive organisation to thrive. If you feel you don’t match our job description exactly, why not take a chance on yourself and apply? You could be exactly what this role needs.The job is a Field Compliance Partner, which used to be a Field Risk Manager, who is responsible for the Supervision and Oversight of both Routine, (standard firms, smaller with no characteristics), and Bespoke AR’s, which are more complex.You will need to be in the Southeast, Kent, ideally, so can travel into London and outskirts.You’ll need to have had previous experience in dealing with advisers and firms, from a supervision point of view, and this skill set is critical.You will be able to bring a high-level of experience within field supervision or compliance monitoring and be a competent assessor for firms and advisers.You will be a strong relationship builder and confident communicator, particularly skilled in questioning, and be able to display sound judgment when assessing risks and developing action plans. You will also have a strong analytical approach and inquisitive nature.You will have experience of Network/National and IFA/restricted advice models and QCF Level 4 or equivalent.A Compliance & Risk qualification is essential for this position.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.#L1-IC1#LI-remoteCore BenefitsHoliday: 26 daysQuilter Incentive Scheme: All employees are eligible to participate in our incentive scheme, based on the company’s performance and their contribution to itPension Scheme: 10% non-contributory company pension scheme that can be boosted through personal contributionsPrivate Medical Insurance: Single cover as standard, cover can be increased at your own costLife Assurance: 4x your salary, cover can be increased at your own costIncome Protection: 75% of salary payable after 26 weeks of absenceIn addition to our core benefits we offer a range of flexible benefits that you can choose from and pay for conveniently via a salary deduction.

Expected salary

Location

England

Job date

Wed, 18 Sep 2024 23:32:59 GMT

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