Risk Assessor, Servicing Oversight

This is a fully remote position, open to applicants in United Kingdom.

📋 Description

• Evaluate operational and regulatory risks associated with ongoing servicing at both Appointed Representative and Representative Intermediary levels.

• Ensure that Treating Customers Fairly principles are integrated into operations.

• Analyze risk data and make informed judgments.

• Provide recommendations for risk assessment and monitoring.

• Leverage risk management data to guide Field Supervisory activities.

• Collaborate with Advisers and Firms to clarify understanding and address issues.

• Manage workload efficiently while adhering to established standards.

• Analyze management information needed to assess risks for ARs/RIs.

• Identify trends and propose mitigation strategies.

• Prepare referral cases for Governance Forums.

• Monitor and assist in resolving escalation actions from Governance Meetings.

• Communicate with ARs/RIs to gather information and provide guidance as necessary.

⛳️ Requirements

• Level 4 diploma in Financial Planning/Advice is a mandatory requirement for this role.

• Extensive compliance experience, including monitoring activities.

• Ability to adhere to compliance regulations and enforce standards as directed by the network.

• Sound judgment in assessing risks and producing risk reports.

• Strong personal integrity and corporate focus.

• Excellent team player with effective verbal and written communication skills.

• Strong analytical mindset with a curious nature.

• Keen attention to detail with the capacity to comprehend and connect risk indicators.

🏝️ Benefits

• Holiday: 182 hours (26 days)

• Quilter Incentive Scheme: All employees are eligible to take part in the incentive scheme, aimed at rewarding business performance and individual contributions.

• Pension Scheme: A non-contributory company pension plan that can be enhanced through personal contributions.

• Healthcare Cash Plan: Available for Jersey employees only.

• Benefit Allowance: A cash benefit allowance is provided in lieu of some core benefits. Additionally, we offer a variety of flexible benefits for UK employees, which can be conveniently paid for through salary deductions.