Jobs
>
London

    Competence and Oversight Manager - London, United Kingdom - Quilter

    Default job background
    Full time
    Description
    Fixed Term Contract Duration - 6 Months

    What the Hiring Manager says

    This is an important interim role, working closely with the Head of Competence and Oversight, Advice, and the leadership team within the Private Client Advisor (QPCA) business. and across the Wealth Management Division. You will be analytical, considered and action orientated in your approach to ensuring appropriate compliance oversight is in place. This is a great development opportunity for the right candidate

    About the Role

    Level : 4

    Department: Quilter Private Client Advisers (t/a Quilter Cheviot Financial Planning) - Wealth Management

    Location : London, Birmingham, Exeter, Leeds, Chester, Carlisle

    Contract type : FTC 6 months

    Proactively managing the regular tasks for the Competence and Oversight team for a fixed period while the head of is linked to project work. These tasks are compliance and oversight based to ensure QPCA continues to comply with all regulatory requirements as well as Quilter Group requirements and to monitor trends and solutions as needs arise.
    • QCFP representation at QFP meetings/forums
    • Professional Services Channel - requests for regulatory input to new propositions
    • Regulatory sign off of financial planning template letters & reports
    • Regulatory input into financial planning processes
    • Financial Planner Risk dashboard collation from multiple sources
    • Trend identification and tracking for Complaints and Remediation
    • Training slide input and sign off
    • Complex financial planning case discussions (occasional) - regulatory viewpoint aligning to Principal Firm's requirements
    • Write monthly Compliance Blog to update teams on material changes to financial planning regulations, QFP processes and guidance
    • Identification of regional key risk indicators and monthly meetings with Regional Directors to flag and resolve
    • Financial Planner conduct review meetings with T&C managers monthly to provide impact recommendations
    About You

    Applications from people with diverse backgrounds enables our inclusive organisation to thrive. If you feel you don't match our job description exactly, why not take a chance on yourself and apply? You could be exactly what this role needs.

    To be successful in this role you will have demonstrable experience of operating in a financial services and/or wealth management environment from within a compliance, risk or regulatory relations position, with a good understanding of regulatory requirements, and compliance. Ideally you will possess advice business experience.

    You can operate with high level of accuracy, attention to detail, ability to perform under pressure whilst also balancing multiple competing priorities and adapt to incoming demands.

    You are naturally able to easily identify and solve problems, analysing and implementing the best solutions.

    You can navigate ambiguous, complex environments and ensure understanding of messages through clear and concise communication.

    You are a self-starter with a strong work ethic and the ability to work within a team or independently (depending on the nature of the activity) with credibility, professionalism, and strong personal integrity to represent the Wealth Management brand(s).

    #LI-VS1 #QCFP

    Core Benefits

    Holiday: 26 days

    Quilter Incentive Scheme: All employees are eligible to participate in our incentive scheme, based on the company's performance and their contribution to it

    Pension Scheme: 10% non-contributory company pension scheme that can be boosted through personal contributions

    Benefit Allowance: A cash benefit allowance is payable in lieu of some of our core benefits.

    In addition to our core benefits we offer a range of flexible benefits that you can choose from and pay for conveniently via a salary deduction.


  • eFinancialCareers London, United Kingdom

    **Key Responsibilities** · - Manage the oversight of the Transfer Agency operations performed by outsource partners. This may include: · - Ensure first line monitoring is conducted in accordance with the third party's SLA to ensure that services are provided to agreed standards a ...


  • eFinancialCareers London, United Kingdom

    **Overview** · Key responsibilities include: · - Providing support to the IM business by monitoring IM's compliance with the Operational Risk Management and Compliance Frameworks and policies; communicating Risk & Compliance policy changes, Risk Management Platform functional cha ...


  • Cameron Kennedy london, United Kingdom

    CASS Oversight Manager · up to £ Bonus + Benefits · London – Hybrid · THE COMPANY · They are a leading Investment Manager who are looking to add a new member to there team due to expansion . · Aim and purpose of the role: · • Support upholding the firm's CASS Oversight Framework ...


  • eFinancialCareers London, United Kingdom

    Responsibilities: · - Producing controls MI on behalf of the global business to support the delivery of the Operational Risk and Controls Methodology (ORCM) Framework. · - Continuing to build the ORCM / iCARE brand by working shoulder to shoulder with business partners and delive ...


  • Nationwide Building Society london, United Kingdom

    We're navigating significant change at Nationwide. It's an exciting time as we evolve to a new future that sees us accelerate delivery of our strategic aims, value to our Members and engage colleagues around new ways of working. · At the same time we are investing in the Operatio ...


  • LegalAndGeneral London, United Kingdom Full time

    Job Description · We're looking for an Assurance and Oversight Manager to join Legal & General Capital (LGC) in London · You'll play a key role in ensuring that LGC's processes remain fit for purpose, policy compliance is maintained and third parties meet LGC's expectations. You' ...


  • eFinancialCareers London, United Kingdom

    Gresham Hunt are currently partnered with a renowned banking institution in the search for a well-rounded Cyber Risk professional, to join their growing second line of defence Risk Oversight function. · This is an exciting to opportunity to provide SME guidance to the organisatio ...


  • eFinancialCareers London, United Kingdom

    **Who we are looking for**: · Trade Management Manager responsible for all aspects of operational support, client management and daily governance of offshore Middle Office operational support across the global teams supporting multiple products traded on behalf of EMEA administer ...


  • eFinancialCareers London, United Kingdom

    **Who We're Looking For** · To own the oversight and governance of outsourced internal services and third party engagements on behalf of State Street Global Markets (SSGM) EMEA, interacting with all GM Business lines and service providers. · **Why this role is important to us** · ...


  • Aviva London, United Kingdom

    CASS Oversight Manager – Salary – national: circa £55,000 – London: circa £65,000 · This is a great opportunity for a proactive CASS (Client Assets Sourcebook) expert to develop further in their career and join an exciting and complex organisation If you are meticulous self-start ...


  • State Street London, United Kingdom Full time

    ob Description Your role at a glance · Are you looking for an entry level role that is technically challenging? Do you want a future that allows you to develop commercial acumen alongside your technical skills? Are you keen to have the opportunity to progress in a breadth of ro ...


  • Nationwide Building Society Camden Area, United Kingdom

    We're navigating significant change at Nationwide. It's an exciting time as we evolve to a new future that sees us accelerate delivery of our strategic aims, value to our Members and engage colleagues around new ways of working. · At the same time, we are investing in the Operati ...


  • eFinancialCareers London, United Kingdom

    **_Job Summary_** · Barings Operations team has an opening for a motivated individual who would like to join our innovative team of financial professionals. · **_Primary Responsibilities_** · **Portfolio Oversight and Fund Accounting**: · - Providing regular and ad-hoc support to ...


  • NATIONWIDE BUILDING SOCIETY London, United Kingdom

    We're navigating significant change at Nationwide. It's an exciting time as we evolve to a new future that sees us accelerate delivery of our strategic aims, value to our Members and engage colleagues around new ways of working. · Make sure to apply quickly in order to maximise y ...


  • NATIONWIDE BUILDING SOCIETY London, United Kingdom

    We're navigating significant change at Nationwide. It's an exciting time as we evolve to a new future that sees us accelerate delivery of our strategic aims, value to our Members and engage colleagues around new ways of working. · Make sure to apply quickly in order to maximise y ...

  • Cameron Kennedy

    CASS Oversight Manager

    17 hours ago


    Cameron Kennedy London, United Kingdom £65,000

    Job Description CASS Oversight Manager · up to £ Bonus + Benefits · London – Hybrid · THE COMPANY · They are a leading Investment Manager who are looking to add a new member to there team due to expansion . · Aim and purpose of the role: · • Support upholding the firm's CA ...


  • Nationwide United Kingdom

    We're navigating significant change at Nationwide. It's an exciting time as we evolve to a new future that sees us accelerate delivery of our strategic aims, value to our members and engage colleagues around new ways of working. · At the same time we are investing in the Operati ...


  • Legal and General London, United Kingdom

    Company Description · Humanity is facing fundamental challenges, with the future of our planet hanging in the balance. As the principal investment arm of the Legal & General Group, our aim at Legal & General Capital is to generate long-term shareholder value, while helping build ...


  • eFinancialCareers London, United Kingdom

    Join us as Head of Capital Risk Oversight Senior Manager · - In this high-profile role, you'll be empowered to make decisions on day-to-day compliance matters and escalate where appropriate · - You'll have the opportunity to develop and deploy a holistic risk skill set, while act ...


  • Nationwide Building Society London, United Kingdom

    We're navigating significant change at Nationwide. It's an exciting time as we evolve to a new future that sees us accelerate delivery of our strategic aims, value to our Members and engage colleagues around new ways of working.At the same time we are investing in the Operational ...