Risk Assessor (Servicing Oversight)
Company
Location
Southampton, England, United Kingdom
Posted At
7/2/2025
Advertise with us by contacting: [email protected]
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Description
Fixed Term Contract Duration - 12 Months
About The Business
Quilter plc is a leading provider of financial advice, investments and wealth management, committed to being the UK’s best wealth manager for clients and their advisers. Quilter oversees £119.4 billion in customer investments (as at end December 2024). It has an adviser and customer offering spanning financial advice, investment platforms, multi-asset investment solutions, and discretionary fund management. The business is comprised of two segments: Affluent and High Net Worth.
Affluent encompasses the financial planning business, Quilter Financial Planning, the Quilter Investment Platform and Quilter Investors, the multi-asset investment solutions business.
High Net Worth includes the discretionary fund management business, Quilter Cheviot, together with Quilter Cheviot Financial Planning.
At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one step ahead and make an even greater difference to the people and communities we serve.
Our business is transforming, continually modernising, and becoming even more customer centric. So, if you want to be bold in the pursuit of your ambitions, bring new ideas, and challenge and evolve what we do, it’s the perfect time to join us!
About The Role
Level: 4
Department: Supervision & Oversight
Location: Homebased, United Kingdom or Southampton, United Kingdom (hybrid)
Contract type: Fixed Term Contract, Full-Time
Non-Regulated
Our Risk Assessor role involves assessing operational and regulatory risks relating to the provision of ongoing servicing at both an Appointed Representative and a Representative Intermediary level, ensuring Treating Customers Fairly principles are embedded. You’ll ensure any risk triggers are understood, analysed, and monitored to allow recommendations of the most appropriate mitigation action.
The key responsibilities of this role are:
We are looking for candidate who can bring a wealth of compliance experience, including monitoring.
You will have obtained your Level 4 diploma in Financial Planning/Advice, this is an essential requirement for the role.
The ability to follow compliance rules and enforce the standards as directed by the network.
You’ll be able to display sound judgment when assessing risks and developing risk reports.
You will have a strong personal identity and corporate focus as well as being an excellent team player who is an excellent verbal and written communicator.
Have a strong analytical approach with an inquisitive nature.
You will possess strong attention to detail with an ability to understand and link risk indicators.
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.
Values
Do the right thing: We act with integrity and are proudly committed to going above and beyond in service of our clients and the support we provide our communities.
Always curious: We continuously seek new ideas and knowledge so we’re one step ahead of our clients’ needs. We look for inspiration everywhere and encourage experimentation, recognising that this is how we create brilliant solutions for brighter futures.
Embrace challenge: We aim high to transform our potential into meaningful outcomes. With ambition as our driving force and a steadfast commitment to growth, we succeed for the good of every generation.
Stronger together: Combining our diverse talents, we accomplish more collectively than we ever could do alone. We speak openly, actively listen, and support each other, and constructively challenge and embrace new ideas. We seek empowerment and demonstrate ownership and trust, with the confidence to make impactful decisions.
Core 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.
About The Business
Quilter plc is a leading provider of financial advice, investments and wealth management, committed to being the UK’s best wealth manager for clients and their advisers. Quilter oversees £119.4 billion in customer investments (as at end December 2024). It has an adviser and customer offering spanning financial advice, investment platforms, multi-asset investment solutions, and discretionary fund management. The business is comprised of two segments: Affluent and High Net Worth.
Affluent encompasses the financial planning business, Quilter Financial Planning, the Quilter Investment Platform and Quilter Investors, the multi-asset investment solutions business.
High Net Worth includes the discretionary fund management business, Quilter Cheviot, together with Quilter Cheviot Financial Planning.
At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one step ahead and make an even greater difference to the people and communities we serve.
Our business is transforming, continually modernising, and becoming even more customer centric. So, if you want to be bold in the pursuit of your ambitions, bring new ideas, and challenge and evolve what we do, it’s the perfect time to join us!
About The Role
Level: 4
Department: Supervision & Oversight
Location: Homebased, United Kingdom or Southampton, United Kingdom (hybrid)
Contract type: Fixed Term Contract, Full-Time
Non-Regulated
Our Risk Assessor role involves assessing operational and regulatory risks relating to the provision of ongoing servicing at both an Appointed Representative and a Representative Intermediary level, ensuring Treating Customers Fairly principles are embedded. You’ll ensure any risk triggers are understood, analysed, and monitored to allow recommendations of the most appropriate mitigation action.
The key responsibilities of this role are:
- Ensure that all relevant risk data is analysed, and appropriate judgment is made.
- Provide risk assessment and monitoring recommendations.
- Utilise the risk management data to direct Field Supervisory activity.
- Provide pre-visit data in advance of Firm Assessment and Adviser Annual Competency Assessment activity.
- Engage with Advisers and Firms to clarify understanding and resolve issues.
- Manage workload effectively and in keeping with published standards.
- Be seen as a centre of excellence in terms of operational, regulatory and customer risk knowledge and practice.
- Analyse all relevant management information that is required to risk assess ARs/RIs.
- Determine relevant risk results and consider data links to enhance the risk profiling of ARs/RIs.
- Provide appropriate management information highlighting all relevant adviser/firm risks trends to enable proactive policy decisions to be made.
- Review outputs to identify trends and suggest mitigation actions.
- Keep up to date with all regulatory changes and process changes to ensure risk decisions remain appropriate.
- Prepare referral cases for Governance Forums.
- Monitor and assist in the closure of escalation actions from Governance Meetings.
- Identify potential areas of risk resulting from planned thematic regulatory themes, compliance feedback, other operational departments intelligence or external feedback.
- Complete additional compliance case checks as desktop monitoring requires.
- Communicate with ARs/RIs to elicit information and offer advice as appropriate.
- Complete desktop KPI and or risk monitoring.
We are looking for candidate who can bring a wealth of compliance experience, including monitoring.
You will have obtained your Level 4 diploma in Financial Planning/Advice, this is an essential requirement for the role.
The ability to follow compliance rules and enforce the standards as directed by the network.
You’ll be able to display sound judgment when assessing risks and developing risk reports.
You will have a strong personal identity and corporate focus as well as being an excellent team player who is an excellent verbal and written communicator.
Have a strong analytical approach with an inquisitive nature.
You will possess strong attention to detail with an ability to understand and link risk indicators.
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.
Values
Do the right thing: We act with integrity and are proudly committed to going above and beyond in service of our clients and the support we provide our communities.
Always curious: We continuously seek new ideas and knowledge so we’re one step ahead of our clients’ needs. We look for inspiration everywhere and encourage experimentation, recognising that this is how we create brilliant solutions for brighter futures.
Embrace challenge: We aim high to transform our potential into meaningful outcomes. With ambition as our driving force and a steadfast commitment to growth, we succeed for the good of every generation.
Stronger together: Combining our diverse talents, we accomplish more collectively than we ever could do alone. We speak openly, actively listen, and support each other, and constructively challenge and embrace new ideas. We seek empowerment and demonstrate ownership and trust, with the confidence to make impactful decisions.
Core 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.
Advertise with us by contacting: [email protected]
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