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- Tasks: Ensure compliance and safety for up to 40 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.
- 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.
- Other info: Remote role with travel, offering excellent career growth and a diverse work environment.
The predicted salary is between 60000 - 75000 £ 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 Partner in London employer: Quilter
Contact Detail:
Quilter Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Firm Compliance Partner in London
✨Tip Number 1
Network like a pro! Attend industry events, webinars, and local meetups to connect with compliance professionals. Building relationships can open doors to opportunities that aren’t even advertised.
✨Tip Number 2
Don’t underestimate the power of social media. Use platforms like LinkedIn to showcase your expertise in compliance and engage with relevant content. It’s a great way to get noticed by recruiters and hiring managers.
✨Tip Number 3
Prepare for interviews by researching Quilter and understanding their compliance culture. Tailor your responses to show how your experience aligns with their values and needs. We want to see your passion for compliance!
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, you’ll find all the latest roles we have on offer, so keep checking back for new opportunities.
We think you need these skills to ace Firm Compliance Partner in London
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter for the Firm Compliance Partner role. Highlight your experience in compliance monitoring and field supervision, and show how your skills align with what we're looking for at Quilter.
Showcase Your Relationship-Building Skills: Since this role involves building strong relationships with AR firms, be sure to include examples of how you've successfully managed relationships in the past. We want to see your communication skills shine through!
Be Analytical: Demonstrate your analytical approach by discussing specific instances where you've identified risks and implemented controls. This will show us that you have the inquisitive nature we value at Quilter.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way to ensure your application gets into the right hands and shows your enthusiasm for joining our team!
How to prepare for a job interview at Quilter
✨Know Your Compliance Stuff
Make sure you brush up on your compliance knowledge, especially around regulatory frameworks and risk management. Familiarise yourself with the specific compliance challenges that Quilter faces and be ready to discuss how your experience aligns with their needs.
✨Build Rapport with the Interviewers
Since this role involves relationship building with AR firms, show off your communication skills during the interview. Engage with the interviewers, ask insightful questions, and demonstrate your ability to connect with others—this will highlight your suitability for the role.
✨Prepare Real-Life Examples
Think of specific instances where you've successfully managed compliance issues or built strong relationships in previous roles. Use the STAR method (Situation, Task, Action, Result) to structure your answers, making it easy for the interviewers to see your impact.
✨Show Your Analytical Side
This role requires a strong analytical approach, so be prepared to discuss how you've assessed risks and implemented controls in past positions. Bring examples of how your analytical skills have led to successful outcomes, as this will resonate well with the interviewers.