At a Glance
- Tasks: Deliver regulatory oversight to appointed representative firms and develop bespoke action plans.
- Company: Quilter plc is a leading wealth management business overseeing £141.2 billion in customer investments.
- Benefits: Enjoy 26 days of holiday, a non-contributory pension scheme, and private medical insurance.
- Other info: This role involves remote work with travel in the South region and a car allowance.
- Why this job: Join a transforming team focused on compliance and personal growth within the financial sector.
- Qualifications: Candidates must hold a UK Level 4 Diploma in Financial Advice and have compliance experience.
The predicted salary is between 50000 - 60000 £ per year.
CANDIDATES MUST HOLD UK LEVEL 4 DIPLOMA IN FINANCIAL ADVICE
About the Business
Quilter plc is a leading wealth management business, helping to enable brighter financial futures for every generation. Quilter oversees £141.2 billion in customer investments (as of December 2025). It has an adviser and customer offering spanning financial advice, investment platforms, multi-asset investment solutions, and discretionary fund management. The business is comprised of two segments: Affluent and High Net Worth.
Affluent encompasses the financial planning business, Quilter Financial Planning, the Quilter Investment Platform and Quilter Investors, the multi-asset investment solutions business. High Net Worth includes the discretionary fund management business, Quilter Cheviot, together with Quilter Cheviot Financial Planning – offering a highly personalised service to private clients, charities, trustees, and professional partners. Quilter Cheviot has presence throughout the UK, Ireland and Channel Islands.
At 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, including our colleagues. 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!
About the Role
- Level: 4
- Location: Remote, with travelling in the South region (South East/Kent) / South West + car allowance
- Department: Supervision and Oversight
- Contract: Permanent
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. As a Regulatory Oversight Manager 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 and 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 and 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 You
Our ideal candidate 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.
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.
- 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.
Regulatory Oversight Manager - 35 hours p/w with car allowance employer: Quilter Financial Planning
Quilter Financial Planning is an exceptional employer for Financial Advisors, offering a supportive environment that prioritises your professional growth and success. With comprehensive paraplanning and admin support, robust lead generation, and market-focused training, you can focus on what you do best—advising clients and maximising your earning potential. Our strong network across the UK ensures that you are part of a collaborative team dedicated to delivering first-class service and achieving financial goals together.
Contact Details:
Quilter Financial Planning Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Regulatory Oversight Manager - 35 hours p/w with car allowance
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Quilter Financial Planning looking for candidates who are engaged and informed.
We think you need these skills to ace Regulatory Oversight Manager - 35 hours p/w with car allowance
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Quilter Financial Planning. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Quilter Financial Planning
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Quilter Financial Planning’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
