Remote Compliance & Competency Assessor

Quilter; United States; Remote; USD 80,000 - 107,000; Full time

Benefits offered by this job

Holiday 26 days

Pension scheme

Private medical insurance

Life assurance

Job summary

Quilter is seeking a Level 4 Diploma qualified Remote Competency Assessor to join its Supervision department. This SMCR certified role focuses on conducting competency assessments for advisers remotely, enforcing oversight contracts, and coaching against regulatory standards.

You will educate Appointed Representatives on Treating Customers Fairly, deliver risk assessments, and provide regular management feedback while using our in-house tools to monitor and improve competence across the adviser

Qualifications

• Must hold Level 4 Diploma and have proven experience in financial services.
• Experience in supervision/TC supervisory functions is desirable.
• Ability to follow compliance rules and enforce standards across the network.

Responsibilities

• Conduct competency assessment meetings remotely across adviser population using in-house tech.
• Explain and enforce oversight contract for Appointed Representatives and Registered Individuals.
• Educate on Treating Customers Fairly and achieving Good Customer Outcomes.
• Deliver risk assessment regime and assess required skills and knowledge.
• Provide coaching and feedback, escalate identified failings to Compliance Partner.
• Provide regular feedback to senior management on issues identified within Quilter group.
• Conduct customer care calls to substantiate findings or support competency sign-off.
• Manage issues through enhanced monitoring and governance action plans.

Skills

Communication skills

Questioning skills

Independent work

Risk assessment

Self-starter

Education

Level 4 Diploma

Tools

Microsoft Office

Job description

Quilter is seeking a Level 4 Diploma qualified Remote Competency Assessor to join its Supervision department. This SMCR certified role focuses on conducting competency assessments for advisers remotely, enforcing oversight contracts, and coaching against regulatory standards.

You will educate Appointed Representatives on Treating Customers Fairly, deliver risk assessments, and provide regular management feedback while using our in-house tools to monitor and improve competence across the adviser