At a Glance
- Tasks: Join a team of compliance pros, building relationships and ensuring safety for AR firms.
- Company: Quilter plc, a leading wealth management business with a focus on innovation.
- Benefits: 26 days holiday, pension scheme, private medical insurance, and performance incentives.
- Other info: Remote work with travel opportunities and continuous training for personal growth.
- Why this job: Make a real impact in financial compliance while growing your career in a dynamic environment.
- Qualifications: Experience in compliance monitoring and strong relationship-building skills required.
The predicted salary is between 60000 - 80000 £ per year.
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 & 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 Audit 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 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 London employer: Quilter
Quilter plc is an exceptional employer that prioritises employee growth and development, offering continuous training and a supportive work culture. With a commitment to inclusivity and integrity, employees enjoy a generous benefits package including a non-contributory pension scheme, private medical insurance, and a competitive incentive scheme, all while working in a dynamic environment that encourages innovation and collaboration. This remote role allows for flexibility and autonomy, making it an ideal opportunity for those looking to make a meaningful impact in the wealth management sector.
StudySmarter Expert Advice🤫
We think this is how you could land Firm Compliance Audit Partner - 35 hours p/w with car allowance in London
✨Tip Number 1
Network like a pro! Get out there and connect with people in the industry. Attend events, join online forums, and don’t be shy about reaching out to potential colleagues on LinkedIn. Building relationships can open doors that a CV just can't.
✨Tip Number 2
Prepare for interviews by researching Quilter and its values. Understand their mission and how you can contribute to their goals. Tailor your responses to show how your experience aligns with their needs, especially in compliance and risk management.
✨Tip Number 3
Practice your pitch! You want to be able to clearly articulate your experience and how it relates to the role of Firm Compliance Audit Partner. Keep it concise and engaging – think of it as your personal brand story.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you’re serious about joining the Quilter team and ready to make an impact.
We think you need these skills to ace Firm Compliance Audit Partner - 35 hours p/w with car allowance in London
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter to highlight your experience in compliance and field supervision. We want to see how your skills align with the role of Firm Compliance Audit Partner, so don’t hold back on showcasing your relevant achievements!
Show Off Your Relationship-Building Skills:Since this role involves working closely with AR Firm Principals, it’s crucial to demonstrate your ability to build strong relationships. Share examples of how you've successfully collaborated with others in the past – we love a good story!
Be Clear and Concise:When writing your application, keep it straightforward and to the point. We appreciate clarity, so avoid jargon and make sure your key points stand out. This will help us quickly see why you’re a great fit for the team!
Apply Through Our Website:We encourage you to submit your application through our website. It’s the best way to ensure your application gets into the right hands. Plus, it shows you’re keen on joining us at 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 is all about maintaining professional safety, so be ready to discuss how you've handled compliance in previous roles.
✨Build Relationships
Since this role involves working closely with AR Firm Principals, think of examples where you've successfully built relationships in a professional setting. Be prepared to share how you approach relationship-building and what strategies you use to maintain strong connections.
✨Show Your Analytical Skills
Quilter values a strong analytical approach, so come prepared to discuss how you've assessed risks and developed action plans in the past. Think of specific instances where your analytical skills made a difference in compliance or risk management.
✨Be Ready for Scenario Questions
Expect scenario-based questions that test your judgment and decision-making skills. Prepare by thinking through potential challenges you might face in the role and how you would address them, particularly in relation to compliance oversight and risk assessment.
