Product Certification Auditor

Quilter plc; Remote; GBP 39,000 - 50,000; Full time

Job summary

A leading wealth management firm in the UK is seeking a Firm Governance Assessor to ensure effective regulatory oversight of representative firms. In this home-based role, you will identify risks and manage issues while providing crucial feedback to advisors. The ideal candidate should have a QCF Level 4 qualification and solid compliance experience. Attractive benefits include private medical insurance and a generous pension scheme.

Benefits

26 days holiday

Incentive scheme

Non-contributory pension scheme

Private medical insurance

Life assurance

Income protection

Qualifications

• Proven experience in a compliance role.
• Confident communication, especially in questioning.
• Ability to provide feedback to advisers/firm principals.

Responsibilities

• Review firm processes to identify areas of concern.
• Set action plans and manage escalations.
• Plan and manage workload remotely.

Skills

Risk assessment

Compliance experience

Communication skills

Judgment

Education

QCF Level 4 or equivalent

Compliance & Risk qualification

Job description

regulatory, reputational, and operational risks are a key component in establishing an effective control function. You will work with AR Principals to help them achieve effective governance of their AR Firms & Advisers, whilst adhering to Network standards. This will be achieved through a program of firm attestation reviews and firm governance assessments.

You will identify areas of concern in a firm's current processes, set action plans and agree timescales for these to be rectified. You will identify risks and elevate any identified concerns through to the Firm Oversight Manager, using the correct escalation channels and manage identified issues to conclusion. This is a home‑based remote firm oversight role and you will be responsible for planning and managing your own workload as part of a highly skilled team.

About You

You will be a confident communicator, particularly skilled in questioning, and be able to display sound judgment when assessing risks. You will bring a wealth of existing experience working within a compliance role and be competent in providing feedback to advisers/firm principals. You will have experience of Network/National and IFA/restricted advice models.

You will need a QCF Level 4 or equivalent. A Compliance & Risk qualification is desirable.

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About The Business

This is an exciting opportunity to join a team of compliance professionals who will support our AR Firm Principals with understanding their business and Quilter plc is a leading wealth management business, helping to enable brighter financial futures for every generation. Quilter oversees £134.8 billion in customer investments (as of September 2025). It offers financial advice, investment platforms, multi‑asset investment solutions, discretionary fund management and two major segments: Affluent and High Net Worth. Quilter Cheviot has presence throughout the UK, Ireland and Channel Islands.

About The Role

Level: 3 | Department: Supervision & Oversight (QFP) | Location: Home‑based, United Kingdom | Contract type: Permanent | Regulated/Non‑Regulated: Non‑Regulated

As a Firm Governance Assessor in Quilter Financial Planning, your role is to deliver regulatory oversight to appointed representative firms. The identification and resolution of customer,

Industry Overview

RSM delivers big ideas and premium service to help middle‑market businesses thrive. A global infrastructure consulting firm, AECOM, supports transportation, buildings, water, energy and the environment. BDO, KPMG and RSM are among the world's largest networks of audit, tax and consulting firms.

Values

• Do the right thing: We act with integrity and are proudly committed to going above and beyond in service of our clients.
• Always curious: We continuously seek new ideas and knowledge so we're one step ahead of our clients' needs.
• Embrace challenge: We aim high to transform our potential into meaningful outcomes.
• Stronger together: We speak openly, actively listen, and support each other, and constructively challenge and embrace new ideas.

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.

Benefits

• Holiday: 182 hours (26 days)
• Incentive Scheme: All employees are eligible to participate in the incentive scheme to incentivise business performance and 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: 4× your salary.
• Income Protection: 75% of salary, less state benefits, payable after 26 weeks of absence.
• Healthcare Cash Plan: Jersey employees only.
• Flexible benefits: UK employees may choose from a range of flexible benefits available via salary deduction.

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