Business Assurance Specialist - Compliance & Quality Control

Quilter Cheviot; Exeter; Hybrid; GBP 55,000 - 75,000; Full time

Benefits offered by this job

Holiday: 26 days

Pension Scheme

Private Medical Insurance

Life Assurance: 4x salary

Income Protection

Job summary

Quilter Cheviot is seeking a Business Assurance professional to provide independent oversight of compliance and regulatory risk control activities. You will review financial advice, support thematic reviews, and help refine core processes within an early-stage team.

Working with Financial Planners and Paraplanners, you will ensure timely QA checks, maintain professional impartiality, and contribute to achieving market-leading right-first-time outcomes across the business.

Qualifications

• Experience in a Financial Service environment.
• Broad understanding of Financial Planning markets and providers.
• Knowledge of Financial Services Regulation (RDR, MiFID II, SDR, Supervision, Data Protection, AML, Consumer Duty).

Responsibilities

• Deliver Business Assurance checks and reviews, based on the framework of QCFPs business standards and processes.
• Manage your workload to 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 Quality Assurance 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.

Skills

Financial services experience

Regulatory knowledge

Analytical skills

Professional communication

Education

Diploma Level 4 AF3 Pension Transfers (or equivalent)

CF6 (or equivalent)

ER1 (or equivalent)

CF8 (or equivalent)

Tools

Excel

Word

PowerPoint

Xplan

Worksmart

Job description

Quilter Cheviot is seeking a Business Assurance professional to provide independent oversight of compliance and regulatory risk control activities. You will review financial advice, support thematic reviews, and help refine core processes within an early-stage team.

Working with Financial Planners and Paraplanners, you will ensure timely QA checks, maintain professional impartiality, and contribute to achieving market-leading right-first-time outcomes across the business.