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 challenges, then now is a great time to join us.
• This role report to the Business & Quality Assurance Lead who is part of the Business Assurance Team
• We are looking for individuals who have a confident approach, will be self-motivated with good interpersonal skills. Work independently but also be part of a collaborative team keeping the end client in mind at all times.
• Whilst 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: Level 3
Department: Business Assurance
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.
The role will involve providing an independent oversight of the effective operations of the core compliance and regulatory risk control activities. This will involve reviewing and assessing financial advice. It will also involve supporting the team with any wider thematic reviews.
As this is a newly formed team you will be vital in helping the review and refinement of key processes. Being part of this new team at this early stage will help you become pivotal in shaping Quilter Cheviot Financial Plannings future aspiration.
The role will be instrumental in assuring the advice checked meets all regulatory expectation. Feedback will need to be given where these expectations are not met. Through support and professional communication our aspirations are for market leading right first time rates.
Responsibilities:
Deliver Business Assurance control checks and Business Assurance reviews, based on the framework of QCFPs business standards and processes.
Manage your workload in order that we complete business assurance activity within acceptable timescales.
Work constructively with financial planners and paraplanners where cases require collaboration, while maintaining professional impartiality.
Ensure professional learning is undertaken and embedded as a result of roll out of new standards, outcomes from QA or other upskilling opportunities.
Update internal systems to record progress and outcomes of reviews undertaken.
Support with remediation cases where potential or confirmed customer detriment is identified, where applicable.
Adhere to all Business Assurances policy and procedures.
Escalate any breaches of regulation or infringement of internal processes.
About You
A broad understanding of the Financial Planning markets in terms of Advice, Product Providers & Lenders.
A broad knowledge and understanding of Financial Service Regulation such as RDR, MIFID ll, SDR, Supervision and Oversight, Data Protection, Anti-Money Laundering, Financial Crime, Data Security and Consumer Duty.
Strong analytical approach and inquisitive nature.
A professional attitude including a professional telephone manner and professional communication skills are essential.
You will need the ability to cope under pressure and react quickly to changing priorities.
You will need a good working knowledge of Excel, Word and PowerPoint. As well as management information via systems such as Xplan and Worksmart.
Always demonstrate good customer outcomes.
Contribute to building a great environment to work in.
Operate effectively – treat the business as if it’s your own.
Own decision and tasks.
Build on your own knowledge by self- learning, share knowledge and best practice with your colleagues.
Qualifications
Diploma Level 4 Qualified
AF3 Pension Transfers (or equivalent preferred)
CF6 (or equivalent preferred)
ER1 (or equivalent preferred)
CF8 (or equivalent preferred)
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.
