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- Driving forward specific deliverables including reporting and communications to support the effective running of the business with awareness and control of risks.
- Representing the Competence and Oversight function in meetings where required to identify and discuss impacts of trends, actively influencing the delivery of ongoing strategic change to ensure the business can continually improve.
- Compliance input and sign off of template suitability reports and documents, training presentations and processes.
- Complaints and Remediation liaison and trend tracking to identify training needs or process improvements.
- Providing clarity and updates to the Head of Competence and Oversight to ensure consistent understanding of risks, issues, and progress towards milestones.
- Communication of regulatory and QFP requirements updates to all on a monthly basis.
- Engagement around complex cases to give regulatory and client experience perspective.
- Work with Quilter Financial Planning to ensure that all risk/compliance issues are appropriately documented and communicated.
- Co-ordinate and prepare reports and presentations for QPCA forums other senior stakeholders.
About You
Applications from people with diverse backgrounds enables our inclusive organisation to thrive. If you feel you don't match our 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 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 #QC
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.
Competence and Oversight Manager - London (Greater), United Kingdom - QUILTER PLC
Description
Fixed Term Contract Duration - 6 MonthsWhat 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.