At a Glance
- Tasks: Ensure compliance and safety for AR firms while building strong relationships.
- Company: Quilter plc, a leading wealth management business focused on brighter financial futures.
- Benefits: 26 days holiday, pension scheme, private medical insurance, and performance incentives.
- Other info: Remote role with travel, offering excellent career growth and a supportive environment.
- Why this job: Join a dynamic team and make a real impact in compliance and risk management.
- Qualifications: Experience in compliance monitoring and strong relationship-building skills required.
The predicted salary is between 60000 - 80000 £ per year.
About Quilter
Quilter plc is a leading wealth management business, helping to enable brighter financial futures for every generation.
About the Role
- Level: 4
- Location: Remote, with travel in the South region (South East/Kent / South West)
- Department: Supervision & Oversight
- Contract: Permanent
This position provides an exciting opportunity to join a team of compliance professionals, working closely with our appointed representative (AR) firm principals to ensure the safety and regulatory compliance of their operations.
- Build and maintain strong relationships with up to 40 AR firms to ensure adherence to Network standards, conducting annual assessments and bespoke firm visits.
- Coach and support AR principals, developing tailored action plans to improve governance and regulatory compliance.
- Identify and assess customer, regulatory, reputational, and operational risks, applying appropriate controls and working with the firm and other QFP departments to develop remediation plans.
- Conduct inspection visits, complete detailed reports, and provide coaching and feedback to address identified risks.
- Manage these risks within Network appetite, reviewing risk assessment results and risk analysis data to determine necessary actions.
- Escalate failures through the proper channels and manage identified issues to conclusion.
This is a field and home‑based role with an average of 2 days per week in the field, for which you will plan and schedule your firm visits.
Qualifications
- High-level experience in field supervision or compliance monitoring, with competencies in assessing firms and advisers.
- Strong relationship building and communication skills, particularly skilled in questioning.
- Strong analytical approach and inquisitive nature.
- Experience with Network/National and IFA/restricted advice models and QCF Level 4 or equivalent.
- 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.
Core Benefits
- Holiday: 182 hours (26 days)
- Quilter Incentive Scheme: All employees eligible to participate, 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: 4× 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.
Firm Compliance Audit Partner - 35 hours p/w with car allowance employer: Quilter
Quilter plc is an exceptional employer, offering a dynamic work environment that prioritises employee growth and inclusivity. With a strong focus on professional development, employees in the Firm Compliance Audit Partner role benefit from tailored coaching and support, alongside a competitive benefits package including a generous holiday allowance and private medical insurance. The remote working flexibility combined with travel opportunities across the South region enhances work-life balance, making Quilter a rewarding place to build a meaningful career.
StudySmarter Expert Advice🤫
We think this is how you could land Firm Compliance Audit Partner - 35 hours p/w with car allowance
✨Tip Number 1
Network like a pro! Get out there and connect with industry professionals, especially those in compliance and audit roles. Attend events, join online forums, and don’t be shy to reach out on LinkedIn – you never know who might have the inside scoop on job openings.
✨Tip Number 2
Prepare for interviews by researching Quilter and understanding their values and operations. Tailor your responses to show how your experience aligns with their mission of ensuring regulatory compliance and building strong relationships with AR firms.
✨Tip Number 3
Practice your questioning skills! Since this role requires strong communication and relationship-building abilities, consider mock interviews where you can hone your ability to ask insightful questions and engage effectively with potential employers.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who take the initiative to engage directly with us. Good luck!
We think you need these skills to ace Firm Compliance Audit Partner - 35 hours p/w with car allowance
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter for the Firm Compliance Audit Partner role. Highlight your experience in compliance monitoring and relationship building, as these are key aspects of the job. We want to see how your skills align with what we're looking for!
Showcase Your Analytical Skills:Since this role requires a strong analytical approach, don’t shy away from sharing examples of how you've assessed risks or developed action plans in previous roles. We love seeing candidates who can think critically and provide solutions!
Be Clear and Concise:When writing your application, keep it clear and to the point. Use bullet points where necessary to make your achievements stand out. We appreciate straightforward communication, so make it easy for us to see why you’re a great fit!
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way to ensure your application gets to the right people. Plus, you’ll find all the details about the role and our company culture there!
How to prepare for a job interview at Quilter
✨Know Your Compliance Stuff
Make sure you brush up on your compliance and risk management knowledge. Understand the regulatory landscape and be ready to discuss how you've navigated similar challenges in the past. This will show that you're not just familiar with the theory but can apply it practically.
✨Build Rapport with Your Interviewers
Since this role involves relationship building, demonstrate your communication skills during the interview. Ask insightful questions and engage with your interviewers. Show them that you can connect with people, just like you would with the AR firm principals you'll be working with.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your analytical and problem-solving skills. Think of examples from your previous experience where you identified risks and implemented solutions. Be specific about the actions you took and the outcomes achieved.
✨Show Your Coaching Skills
This role requires coaching AR principals, so be prepared to discuss your approach to mentoring others. Share examples of how you've supported colleagues or clients in improving their compliance practices. Highlight your ability to create tailored action plans that lead to tangible improvements.
