Servicing Oversight Risk Assessor

About the Business

About the Role

Level: 4

Department: Sales Quality / Business Assurance

Location: Remote

Contract: Secondment/Fixed Term Contract

Duration: 12 months

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:

oEnsure that all relevant risk data is analysed, and appropriate judgment is made.

oProvide risk assessment and monitoring recommendations.

oUtilise the risk management data to direct Field Supervisory activity.

oProvide pre-visit data in advance of Firm Assessment and Adviser Annual Competency Assessment activity.

oEngage with Advisers and Firms to clarify understanding and resolve issues.

oManage workload effectively and in keeping with published standards.

oBe seen as a centre of excellence in terms of operational, regulatory and customer risk knowledge and practice.

oAnalyse all relevant management information that is required to risk assess ARs/RIs.

oDetermine relevant risk results and consider data links to enhance the risk profiling of ARs/RIs.

oProvide appropriate management information highlighting all relevant adviser/firm risks trends to enable proactive policy decisions to be made.

oReview outputs to identify trends and suggest mitigation actions.

oKeep up to date with all regulatory changes and process changes to ensure risk decisions remain appropriate.

oPrepare referral cases for Governance Forums.

oMonitor and assist in the closure of escalation actions from Governance Meetings.

oIdentify potential areas of risk resulting from planned thematic regulatory themes, compliance feedback, other operational departments intelligence or external feedback.

oComplete additional compliance case checks as desktop monitoring requires.

oCommunicate with ARs/RIs to elicit information and offer advice as appropriate.

oComplete desktop KPI and or risk monitoring.

About You

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.

#Quilter

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.