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- Tasks: Join us as a Financial Service Vetting Caseworker, ensuring new advisers receive top-notch onboarding.
- Company: Quilter is a leading UK wealth manager, dedicated to transforming financial services for clients and advisers.
- Benefits: Enjoy flexible working hours, generous holiday, and a range of health and pension benefits.
- Why this job: Be part of a dynamic team driving growth while making a positive impact on clients and communities.
- Qualifications: Ideal candidates should have experience in financial services, strong communication skills, and a curious mindset.
- Other info: Remote work options available; we value diversity and inclusivity in our workplace.
The predicted salary is between 28800 - 43200 £ per year.
Job Description
About the Business
Quilter plc is a leading provider of financial advice, investments and wealth management, committed to being the UK's best wealth manager for clients and their advisers. Quilter oversees £119.4 billion in customer investments (as at end December 2024). 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.
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.
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: 2
Department : Supervision & Assurance (Operations) – Quilter Financial Planning
Location : Southampton, United Kingdom OR Homebased, United Kingdom
Working hours: Working either 35 hours OR 40 hours per week
Contract type : Permanent
Our Financial Service Vetting Caseworker form a key part in the overall onboarding experience of new Advisers and Firms joining Quilter, so it is vital that new applicants receive a positive and professional service when joining Quilter Financial Planning.
You will be undertaking all aspects of due diligence vetting checks, examples include:
- Completing identification and address validation
- Requesting and reviewing employer references
- Checking the employment history to ensure the individual is Fit & Proper
- Completing background checks
- Checking financial records and credit reports to assess financial stability
- Reviewing the Advisers employment history
You will complete the vetting of new applications, using all relevant information to assess if the adviser or firm meets all regulatory and business requirements, therefore should be onboarded with Quilter. This includes applying to the FCA, for regulatory authorisation, ensuring that robust evidence of due diligence activity is provided.
Financial Service Vetting Caseworker make decisions based on procedures and Business Standards, which set out Quilter business acceptance appetite.
You will be part of a great team that is at the front line in supporting the Quilter growth strategy, whilst keeping our business, advisers and customers safe.
About You
The ideal candidate will ideally have:
- Strong experience working within a Financial Services and Regulatory background.
- You will take a positive and welcoming approach as you will be the first point of contact for those joining Quilter Financial Planning.
- You will naturally have an inquisitive mindset and assess the vetting findings, applying a risk based approach when decision making.
- You will have the ability to effectively and efficiently co-ordinate your day-to-day workload and applications, working under pressure whilst remaining focused and calm.
- You will be able to confidently liaise with stakeholders to keep them updated on the progress of your applications
- You will also be a team player who looks to support others
- You will be open to change, seeking opportunities for improvements and advocating technology
- A solid understanding of Microsoft Excel and Word would be beneficial
#LI-remote
#LI-FD1
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.
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
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.
Financial Service Vetting Caseworker - Quilter employer: Quilter
Contact Detail:
Quilter Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Financial Service Vetting Caseworker - Quilter
✨Tip Number 1
Familiarise yourself with the regulatory landscape of financial services in the UK. Understanding the FCA's requirements and guidelines will not only help you in the vetting process but also demonstrate your commitment to compliance during interviews.
✨Tip Number 2
Network with professionals already working in financial services, especially those involved in compliance or vetting roles. Engaging with them can provide insights into the day-to-day responsibilities and challenges of a Financial Service Vetting Caseworker.
✨Tip Number 3
Showcase your analytical skills by preparing examples of how you've successfully assessed risk or made decisions based on data in previous roles. This will highlight your ability to handle the responsibilities of the position effectively.
✨Tip Number 4
Demonstrate your adaptability and willingness to embrace change by discussing any experiences where you've implemented new processes or technologies. Quilter values innovation, so showing that you're proactive about improvements can set you apart.
We think you need these skills to ace Financial Service Vetting Caseworker - Quilter
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly read the job description for the Financial Service Vetting Caseworker position at Quilter. Understand the key responsibilities and required skills, as this will help you tailor your application.
Highlight Relevant Experience: In your CV and cover letter, emphasise any previous experience in financial services or regulatory roles. Use specific examples to demonstrate your understanding of due diligence vetting checks and your ability to assess risk.
Showcase Your Skills: Make sure to highlight your skills that align with the job requirements, such as your proficiency in Microsoft Excel and Word, your ability to work under pressure, and your strong communication skills. Provide concrete examples of how you've used these skills in past roles.
Craft a Strong Cover Letter: Write a compelling cover letter that not only outlines your qualifications but also reflects your enthusiasm for the role and the company. Mention how your values align with Quilter's commitment to integrity, curiosity, and teamwork.
How to prepare for a job interview at Quilter
✨Understand the Role
Make sure you thoroughly understand the responsibilities of a Financial Service Vetting Caseworker. Familiarise yourself with the vetting process, regulatory requirements, and the importance of due diligence in onboarding new advisers.
✨Showcase Your Experience
Highlight your experience in financial services and regulatory environments during the interview. Be prepared to discuss specific examples where you've successfully managed vetting processes or similar tasks.
✨Demonstrate Your Inquisitive Mindset
Quilter values an inquisitive approach. Prepare to discuss how you assess findings and make decisions based on risk. Share instances where your curiosity led to improved outcomes or processes.
✨Emphasise Teamwork and Communication Skills
As a caseworker, you'll need to liaise with various stakeholders. Be ready to talk about your teamwork experiences and how you keep others updated on application progress, showcasing your ability to communicate effectively under pressure.
