Hybrid (2 days a week in the field, home-based for the remainder)
Field supervision experience
Compliance monitoring experience
Relationship building skills
Quilter is seeking a Firm Compliance Partner to join its Supervision & Oversight team, focusing on maintaining regulatory oversight for appointed representative firms. The role involves building strong relationships with AR Firm Principals and ensuring compliance with Treating Customers Fairly principles while supporting their business operations
Job Summary
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.
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.
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.
Matching Summary
Match Score: 85
Quilter is seeking a Firm Compliance Partner to join its Supervision & Oversight team, focusing on maintaining regulatory oversight for appointed representative firms. The role involves building strong relationships with AR Firm Principals and ensuring compliance with Treating Customers Fairly principles while supporting their business operations.
Skills & Requirements
Must-have
Field supervision experience
Compliance monitoring experience
Relationship building skills
Strong analytical approach
Inquisitive nature
Nice-to-have
Coaching and support AR firms
Develop unique action plans
Embedding Treating Customers Fairly principles
Key Requirements
QCF Level 4 or equivalent
Compliance & Risk qualification is essential
Experience of Network/National and IFA/restricted advice models