At a Glance
- Tasks: Join a team of compliance pros, supporting AR Firms and ensuring regulatory safety.
- Company: Quilter plc, a leading wealth management business with a focus on financial futures.
- Benefits: 26 days holiday, pension scheme, private medical insurance, and performance incentives.
- Other info: Remote role with field visits, offering continuous training and personal growth.
- Why this job: Make a real impact in compliance while building strong relationships with AR firms.
- Qualifications: Experience in compliance monitoring and a strong analytical mindset required.
The predicted salary is between 60000 - 80000 £ per year.
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.
About the Role
- Level: 4
- Location: Remote, with travelling in the South region (South East/Kent) / South West
- Department: Supervision & 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 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, and 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.
- 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.
Firm Compliance Audit Partner - 35 hours p/w with car allowance in Hounslow employer: Quilter
Quilter plc is an exceptional employer, offering a dynamic work culture that prioritises employee growth and development within the wealth management sector. With a strong commitment to inclusivity and integrity, employees benefit from comprehensive training, a generous holiday allowance, and a robust incentive scheme, all while enjoying the flexibility of remote work combined with field visits in the South region. Join us to make a meaningful impact in financial compliance while being part of a supportive team that values collaboration and innovation.
StudySmarter Expert Advice🤫
We think this is how you could land Firm Compliance Audit Partner - 35 hours p/w with car allowance in Hounslow
✨Tip Number 1
Network like a pro! Get out there and connect with industry professionals, attend events, and join relevant online groups. Building relationships can open doors to opportunities that aren’t even advertised.
✨Tip Number 2
Prepare for interviews by researching Quilter and understanding their values and services. Tailor your responses to show how your experience aligns with their mission of enabling brighter financial futures.
✨Tip Number 3
Practice your pitch! Be ready to explain how your skills in compliance and risk management can benefit Quilter’s AR Firms. Confidence is key, so rehearse your answers to common interview questions.
✨Tip Number 4
Don’t forget to follow up after your interview! A quick thank you email can leave a lasting impression and shows your enthusiasm for the role. Plus, it keeps you on their radar!
We think you need these skills to ace Firm Compliance Audit Partner - 35 hours p/w with car allowance in Hounslow
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 and field supervision, and show how your skills align with our values at Quilter.
Showcase Your Relationship-Building Skills:We’re looking for someone who can build strong relationships with AR Principals. Use your application to demonstrate your communication skills and any relevant experiences where you’ve successfully managed relationships.
Be Clear About Your Experience:When detailing your work history, be specific about your compliance monitoring and risk assessment experience. We want to see how you’ve tackled challenges in previous roles and what outcomes you achieved.
Apply Through Our Website:Don’t forget to submit your application through our website! It’s the best way for us to receive your details and ensures you’re considered for this exciting opportunity with Quilter.
How to prepare for a job interview at Quilter
✨Know Your Compliance Stuff
Make sure you brush up on your compliance knowledge, especially around Treating Customers Fairly principles. Quilter plc is all about maintaining professional safety, so being able to discuss regulatory oversight and risk management confidently will impress the interviewers.
✨Build Rapport with AR Firms
Since the role involves working closely with appointed representative firms, think about how you can demonstrate your relationship-building skills. Prepare examples of how you've successfully coached or supported firms in the past, showing that you can foster strong connections.
✨Show Off Your Analytical Skills
The job requires a strong analytical approach, so be ready to discuss how you've assessed risks and developed action plans in previous roles. Bring specific examples where your analytical skills led to successful outcomes, as this will highlight your fit for the position.
✨Prepare Questions
Interviews are a two-way street, so come armed with thoughtful questions about the role and the company culture at Quilter. This shows your genuine interest and curiosity, which aligns perfectly with their values. Ask about their approach to training and development, as it’s a priority for them.
