In this role, you will provide regulatory oversight and governance for appointed representative firms within Quilter Financial Planning. You’ll coach and support up to 40 AR firms, delivering bespoke action plans and ongoing supervision to ensure Treating Customers Fairly and regulatory standards are embedded. The position blends field and home-based work, with regular firm visits and risk-focused assessments to protect clients and maintain network safety. You’ll partner with AR Principals and internal teams to identify, escalate, and resolve risks, contributing to a customer-centric, compliant business.
Pay / Benefits
Holiday: 26 days
Pension scheme (non-contributory)
Private Medical Insurance (single cover)
Life Assurance: 4x salary
Income Protection: 75% of salary after 26 weeks
Flexible benefits via salary deduction
Responsibilities
Own a panel of up to 40 AR firms and supervise bespoke characteristics and risk-based supervision
Conduct diarised annual assessments and bespoke firm visits; act as main compliance contact for the firm
Identify process gaps, set action plans with timescales, and monitor progress
Review risk assessments and data to identify adviser risk; apply appropriate controls
Conduct bespoke inspection visits and produce reports with coaching and feedback
Escalate identified failings through the correct channels to the Supervisions & Oversight Manager
Manage risks within network appetite and investigate supervisory findings
Plan and schedule firm visits as a field/home-based role (avg 2 days in the field)
Key requirements
Experience in field supervision or compliance monitoring with firms/advisers
Strong relationship-building and communication skills; sound judgment in risk assessment
Analytical mindset with inquisitive approach
Experience with Network/National and IFA/restricted advice models
QCF Level 4 or equivalent; essential Compliance & Risk qualification
Ability to deliver coaching and action plans and to work with multiple internal departments
Proven capability to identify, assess, escalate, and resolve risks
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