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Advice. Investments. Wealth Management.
Risk Assessor, Servicing Oversight
Location
United Kingdom
Posted
39 days ago
Salary
0
Seniority
Senior
Job Description
Risk Assessor, Servicing Oversight
Quilter
• Assess operational and regulatory risks relating to ongoing servicing at both Appointed Representative and Representative Intermediary level. • Ensure Treating Customers Fairly principles are embedded. • Analyze risk data and make appropriate judgments. • Provide risk assessment and monitoring recommendations. • Utilize risk management data to direct Field Supervisory activity. • Engage with Advisers and Firms to clarify understanding and resolve issues. • Manage workload effectively and in keeping with published standards. • Analyze management information necessary to risk assess ARs/RIs. • Identify trends and suggest mitigation actions. • Prepare referral cases for Governance Forums. • Monitor and assist in the closure of escalation actions from Governance Meetings. • Communicate with ARs/RIs to elicit information and offer advice as appropriate.
Job Requirements
- Level 4 diploma in Financial Planning/Advice, essential requirement for the role.
- Wealth of compliance experience, including monitoring.
- Ability to follow compliance rules and enforce standards as directed by the network.
- Sound judgment when assessing risks and developing risk reports.
- Strong personal identity and corporate focus.
- Excellent team player with good verbal and written communication skills.
- Strong analytical approach with an inquisitive nature.
- Strong attention to detail with the ability to understand and link risk indicators.
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.
- Healthcare Cash Plan: Jersey employees only.
- Benefit Allowance: A cash benefit allowance is payable in lieu of some of our core benefits. 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.
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