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Form of work
SalaryThis role provides an opportunity to gain experience for someone looking to advance their career in Financial Services. It could be particularly suited to those looking to become, or already partly qualified in, Financial Advice by supporting the Supervision & Assurance team with the completion of important advice related tasks and administrative duties to support the wider function.
Regulatory Oversight Manager
About the Role
Level: 3
Department: Supervision & Assurance
Location: Southampton, United Kingdom (hybrid working)
Contract type: Permanent, Full-Time
Non-Regulated
This is a newly created role within the wider Supervision & Assurance function which will support the business in its oversight of adviser and firm activity, specifically relating to the provision of Ongoing Service. The key responsibilities of the role are:
- To ensure advisers adhere to QFP processes related to ongoing servicing and escalate any issues that are identified appropriately.
- Monitor daily servicing alerts, ensuring activity is logged and appropriate communications are issued in a timely manner.
- Manage adviser responses to alerts and facilitate follow up actions.
- Review and categorise tasks and actions, according to process and procedure, for further assessment or resolution.
- Review and support the investigation of anomalies or exceptions.
- Manage escalations and hand-offs to other teams to ensure correct outcomes are achieved and appropriately documented.
- Manage cases from start to finish through various systems, including but not limited to, PowerBI and Dynamics.
- Ensure excellent records management and robust audit trail.
- Support the development of processes and seek systemisation opportunities to improve efficiency across all key processes.
- Provide administration support across all processing teams.
- Support team managers in workflow management and reporting.
- Engage and work with Advisers/Firm throughout the process to provide excellent service.
- Demonstrate good customer outcomes.
- Contribute to building a great environment to work in
- Support with ad-hoc tasks if appropriate and when required.
Applications from people with diverse backgrounds enables our inclusive organisation to thrive. If you feel you don't match our job description exactly, why not take a chance on yourself and apply? You could be exactly what this role needs.
We are looking for a candidate with a broad understanding of the Financial Planning markets in terms of Advice, Providers/lenders, platforms, products.
A broad understanding of how Advisers and how AR (Appointed Representative) businesses operate.
Excellent organisational skills and the ability to manage a variety of tasks and responsibilities.
Has a confident approach, self-motivated with good interpersonal skills.
An excellent telephone manner and written communication.
A good working knowledge of excel, word and PowerPoint.
Demonstrate a strong eye for detail while also displaying a willingness to solve problems and improve processes.
Ability to follow processes.
You'll embrace change and initiate new and better ways of working to deliver positive customer outcomes.
Working collaboratively with colleagues - both within the team and across the wider business - this individual will be focused on delivering an exceptional level of service.
Operate efficiently - treat the business as if it's your own.
Own decisions and tasks - decide and deliver.
Build on own knowledge by self-learning, share knowledge and best practice with colleagues.
Ability to manage workflows within defined timescales.
Our purpose is to help the generations today and tomorrow to prosper. That means we must guide people through the complexity of planning for their future, with the right financial advice and investment solutions, so that they can have more secure financial futures.
In this ever-changing world, we see that our role in society has never been more meaningful, and we are committed to using our expertise and care to guide our customers through these challenging and unprecedented times.
Our impressive talents and capabilities set us apart, but our unwavering commitment to our customers is what defines us. We truly believe that we have all the ingredients to be the very best in our industry, and we want great people with the care and creativity that we need, to help us get there.
We are passionate about building an inclusive culture where everyone's contribution is valued, and our people can thrive. No matter what your role is or where you sit, your voice will matter. We hope you like what you hear and are interested in learning more about joining us.
#LI-IC1 #LI-hybrid
Core Benefits
Holiday: 26 days
Quilter Incentive Scheme: All employees are eligible to participate in our incentive scheme, based on the company's performance and their contribution to it
Pension Scheme: 10% non-contributory company pension scheme that can be boosted through personal contributions
Private Medical Insurance: Single cover as standard, cover can be increased at your own cost
Life Assurance: 4x your salary, cover can be increased at your own cost
Income Protection: 75% of salary payable after 26 weeks of absence
In addition to our core benefits we offer a range of flexible benefits that you can choose from and pay for conveniently via a salary deduction.
