About the Business
Working alongside our sister company, Quilter Cheviot, Quilter Cheviot Financial Planning provides highly personalised and comprehensive financial advice for individuals and families with needs such as significant investments, estate planning and preparing for retirement. We are part of Quilter plc, a leading provider of advice, investment platforms, multi-asset investment solutions and discretionary fund management which is listed on the London and Johannesburg stock exchanges and manages over £111.6 billion of client investments (as at March 2024).
Quilter Cheviot has been trusted by individuals and families for over 250 years, ensuring their investments are managed with precision and foresight. Today we are one of the UK's largest wealth management firms offering expert discretionary investment management and financial planning through our sister company, Quilter Cheviot Financial Planning. We are truly client centric; providing a highly personalised service to private clients, charities, trustees, and professional partners to help them navigate their financial future with confidence. We have presence throughout the UK, Ireland and Channel Islands as well as Dubai.
If you want to play a part in shaping the future of our business, bringing new ideas and challenge then now is a great time to join us.
•\tYou will lead an operational team, providing regulatory supervision over our adviser population and their adherence to the firms Training and Competency scheme and the overarching control environment.
•\tYou will work closely with counterparts in Distribution, Business Assurance, Advice Standards and Proposition.
•\tWhilst this isn't a directly customer facing role, the duties you will perform will contribute to the overall positive outcomes for our clients.
About the Role
Level: 5
Department: Supervision and Competency
Location: Birmingham | Carlisle l Chester l Exeter l Leeds l London. The role will be linked to one or more of the regional offices with remote working for part of the week.
Contract type: Permanent
Regulated
Responsibilities:
Please use this section to bullet point:
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.
Working alongside our sister company, Quilter Cheviot, Quilter Cheviot Financial Planning provides highly personalised and comprehensive financial advice for individuals and families with needs such as significant investments, estate planning and preparing for retirement. We are part of Quilter plc, a leading provider of advice, investment platforms, multi-asset investment solutions and discretionary fund management which is listed on the London and Johannesburg stock exchanges and manages over £111.6 billion of client investments (as at March 2024).
Quilter Cheviot has been trusted by individuals and families for over 250 years, ensuring their investments are managed with precision and foresight. Today we are one of the UK's largest wealth management firms offering expert discretionary investment management and financial planning through our sister company, Quilter Cheviot Financial Planning. We are truly client centric; providing a highly personalised service to private clients, charities, trustees, and professional partners to help them navigate their financial future with confidence. We have presence throughout the UK, Ireland and Channel Islands as well as Dubai.
If you want to play a part in shaping the future of our business, bringing new ideas and challenge then now is a great time to join us.
•\tYou will lead an operational team, providing regulatory supervision over our adviser population and their adherence to the firms Training and Competency scheme and the overarching control environment.
•\tYou will work closely with counterparts in Distribution, Business Assurance, Advice Standards and Proposition.
•\tWhilst this isn't a directly customer facing role, the duties you will perform will contribute to the overall positive outcomes for our clients.
About the Role
Level: 5
Department: Supervision and Competency
Location: Birmingham | Carlisle l Chester l Exeter l Leeds l London. The role will be linked to one or more of the regional offices with remote working for part of the week.
Contract type: Permanent
Regulated
Responsibilities:
- You will help define, lead and manage the operation of adviser activity in order to manage risk and ensure good customer outcomes.
- You will provide strong leadership working with other key stakeholders and teams in shaping the development of the overall strategy and business plan.
- You will be responsible for delivering the key commitments outlined in the firm's Training and Competency scheme, for example the monitoring of our advisers KRIs and the oversight of advice with accurate Management Information delivery.
- You will help identify trends where policy and processes could be improved to help mitigate risks that have been identified or have the potential to create risks outside of our appetite.
- You will lead a risk focused culture and identify areas for continuous improvements including leading the team in any necessary competency training interventions.
- You will oversee the management of advisers who are not performing against the firm's compliance and conduct expectations. You will also have the authority to issue disciplinary action up to and including a final written warning.
- You will ensure problem solving is conducted through a risk lens and resource plans are adapted to mitigate risks appropriately.
- You will manage any identified operational issues by reporting to relevant stakeholders and maintaining effective communication.
- You will ensure capacity management is consistently reviewed based on risks presented and programmes of change are delivered. You will support or lead with specific change projects.
- You will lead on risk identification and implement appropriate mitigations or interventions as outlined in the firm's Training and Competency scheme.
- You will develop, own and review all documented procedures ensuring accuracy and consistency of application.
- You will help address any audit findings, as well as any interdepartmental feedback and help deliver the agreed remedy.
- You will develop and maintain strong and effective relationships with a range of internal and external stakeholders to ensure communication is clear and best practice approaches are identified and shared.
Please use this section to bullet point:
- Lead by example, creating and maintaining a culture that promotes exceptional performance, empowerment, accountability and professionalism at all levels.
- Provides inspirational leadership, engaging employees, teams and key stakeholders, being a role model to support a high performing culture and a customer centric environment.
- Understands a commercial mindset, readily challenges the status quo to help redefine the business and differentiate in the market place .
- Ability to create and implement change.
- Can do attitude, having the strength of personality to influence and guide with personal motivation and confidence.
- A competent assessor of existing and required processes.
- Strong communication skills - ability to navigate complex and political environments and manage multiple senior stakeholders as well as ability to simplify complex concepts for the wider business.
- Strong analytical approach and inquisitive nature.
- Able to represent and interact with all areas of the Company on compliance, sales and advice processes.
- Able to display sound judgement when recommending policy/process change.
- Flexible and adaptive to an ever-changing environment with the ability to work under pressure whilst remaining focused and calm.
- Attention to detail.
- Demonstrate flexibility, prioritise workloads and work on your own initiative.
- Diploma qualified level 4 in Financial Advice
- CF6 (or equivalent is desirable)
- ER1 (or equivalent is desirable)
- CF8 (or equivalent)
- AF7 (or equivalent is desirable)
- Advanced Diploma / Chartered level 6 in Financial Advice (desirable)
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.
