Regulatory Oversight Manager – Remote & Field

Quilter Financial Planning; United Kingdom; Hybrid; GBP 45,000 - 60,000; Full time

Benefits offered by this job

Holiday: 26 days

Pension Scheme

Private Medical Insurance

Income Protection

Job summary

Quilter Financial Planning is looking for a Regulatory Oversight Manager to deliver regulatory oversight to appointed representative firms across the UK. The role involves working closely with AR Firm Principals, managing risk assessments, and ensuring compliance with existing regulations.

The ideal candidate will have field supervision experience and hold a QCF Level 4 Diploma in Financial Advice. This position offers a flexible working environment with travel across the South East and South West regions.

Enjoy a robust benefits package including 26 days of holiday, a pension scheme, and private medical insurance.

Qualifications

• Experience in managing AR Firms and understanding compliance.
• Strong analytical skills with an inquisitive nature.
• Proven ability to communicate effectively with stakeholders.

Responsibilities

• Deliver regulatory oversight to appointed representative firms.
• Build relationships with AR Principals to achieve effective governance.
• Manage risk assessments and create action plans for compliance.

Skills

Field supervision experience

Compliance monitoring

Relationship building

Sound judgment in risk assessment

Education

QCF Level 4 Diploma in Financial Advice

Compliance & Risk qualification

Job description

Quilter Financial Planning is looking for a Regulatory Oversight Manager to deliver regulatory oversight to appointed representative firms across the UK. The role involves working closely with AR Firm Principals, managing risk assessments, and ensuring compliance with existing regulations.

The ideal candidate will have field supervision experience and hold a QCF Level 4 Diploma in Financial Advice. This position offers a flexible working environment with travel across the South East and South West regions.

Enjoy a robust benefits package including 26 days of holiday, a pension scheme, and private medical insurance.