Authorisations Caseworker

Quilter; Southampton; On-site; GBP 24,000 - 30,000; Full time

Job summary

Join Quilter as an Authorisations Caseworker in Southampton, where you'll play a key role in the onboarding experience for new advisers. Your position will involve thorough vetting checks and ensuring all applications meet regulatory standards. This entry-level role requires strong communication skills and an inquisitive mindset to assess findings effectively. With a commitment to inclusivity and diversity, Quilter offers a supportive environment for professional growth.

Benefits

182 hours of holiday (26 days)

Participation in the Quilter Incentive Scheme

Non-contributory pension scheme

Private Medical Insurance

Life Assurance (4x your salary)

Income Protection

Qualifications

• Strong experience in Financial Services and Regulatory background.
• Ability to liaise confidently with stakeholders.
• Open to change and advocating technology.

Responsibilities

• Conduct due diligence vetting checks for new advisers and firms.
• Complete identification and address validation.
• Review employment history to ensure fit and proper status.

Skills

Communication

Teamwork

Inquisitive mindset

Tools

Microsoft Excel

Microsoft Word

Job description

Quilter Southampton, England, United Kingdom

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Quilter Southampton, England, United Kingdom

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About The Business

Quilter plc is a leading provider of financial advice, investments and wealth management, committed to being the UK’s best wealth manager for clients and their advisers. Quilter oversees £119.4 billion in customer investments (as at end December 2024). It has an adviser and customer offering spanning financial advice, investment platforms, multi-asset investment solutions, and discretionary fund management. The business is comprised of two segments: Affluent and High Net Worth.

About The Business

Quilter plc is a leading provider of financial advice, investments and wealth management, committed to being the UK’s best wealth manager for clients and their advisers. Quilter oversees £119.4 billion in customer investments (as at end December 2024). It has an adviser and customer offering spanning financial advice, investment platforms, multi-asset investment solutions, and discretionary fund management. The business is comprised of two segments: Affluent and High Net Worth.

Affluent encompasses the financial planning business, Quilter Financial Planning, the Quilter Investment Platform and Quilter Investors, the multi-asset investment solutions business.

High Net Worth includes the discretionary fund management business, Quilter Cheviot, together with Quilter Cheviot Financial Planning.

At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one step ahead and make an even greater difference to the people and communities we serve.

Our business is transforming, continually modernising, and becoming even more customer centric. So, if you want to be bold in the pursuit of your ambitions, bring new ideas, and challenge and evolve what we do, it’s the perfect time to join us!

About The Role

Level: 2

Department: Supervision & Assurance (Operations) - Quilter Financial Planning

Location: Southampton, United Kingdom OR Homebased, United Kingdom

Working hours: Working either 35 hours OR 40 hours per week

Contract type: Permanent

Our Authorisations Team Case Workers form a key part in the overall onboarding experience of new Advisers and Firms joining Quilter, so it is vital that new applicants receive a positive and professional service when joining Quilter Financial Planning.

You will be undertaking all aspects of due diligence vetting checks, examples include:

• Completing identification and address validation
• Requesting and reviewing employer references
• Checking the employment history to ensure the individual is Fit & Proper
• Completing background checks
• Checking financial records and credit reports to assess financial stability
• Reviewing the Advisers employment history
  
  
  

You will complete the vetting of new applications, using all relevant information to assess if the adviser or firm meets all regulatory and business requirements, therefore should be onboarded with Quilter. This includes applying to the FCA, for regulatory authorisation, ensuring that robust evidence of due diligence activity is provided.

Authorisations Caseworkers make decisions based on procedures and Business Standards, which set out Quilter business acceptance appetite.

You will be part of a great team that is at the front line in supporting the Quilter growth strategy, whilst keeping our business, advisers and customers safe.

About You

The ideal candidate will ideally have:

• Strong experience working within a Financial Services and Regulatory background.
• You will take a positive and welcoming approach as you will be the first point of contact for those joining Quilter Financial Planning.
• You will naturally have an inquisitive mindset and assess the vetting findings, applying a risk based approach when decision making.
• You will have the ability to effectively and efficiently co-ordinate your day-to-day workload and applications, working under pressure whilst remaining focused and calm.
• You will be able to confidently liaise with stakeholders to keep them updated on the progress of your applications
• You will also be a team player who looks to support others
• You will be open to change, seeking opportunities for improvements and advocating technology
• A solid understanding of Microsoft Excel and Word would be beneficial
  
  
  

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.

Seniority level

• Seniority level

  Entry level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Other

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