Field Risk Manager

Closing date
10 Aug 2021

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Contract Type

Job Details

Due to expansion and growth, Quilter Financial Planning are currently recruiting for an experienced Field Risk Manager to join our dynamic, fun and forward thinking team. Our team supports Financial Advisers and AR Firms across the country with all aspects of risk-based assessment, in both a Financial Planning and Mortgage & Protection capacity.

An experienced Field Risk Manager will have current/previous experience in a similar role, and will be comfortable with consulting/managing/working alongside Advisers and AR Firms to educate them in respect of their compliance requirements , "Treating Customers Fairly" responsibilities and achieving Good Customer Outcomes. Duties will include as follows:
  • Deliver Initial and Annual inspection visits
  • Explain and enforce the oversight contract with Appointed Representatives and Registered Individuals detailing the requirements, methods of assessment used and timescales to be applied
  • Deliver the supervisory and risk assessment regime to Appointed Representatives and Registered Individuals and assess the skills, competencies and knowledge required to maintain competence
  • Conduct Adviser Reviews within the Annual Inspection Visit, completing reports, providing coaching and feedback, identifying risks and escalating any identified failings through to the Senior Field Risk Manager
  • Conduct competency sign off interviews for advisers in line with the requirements and standards
  • Provide regular feedback to senior management on any issues identified within the Quilter Financial Planning group
  • Conduct customer care calls as appropriate when needing to substantiate findings or to support competency sign off
  • Manage identified issues to conclusion through effective use of enhanced monitoring events action Plans and Governance actions plans
  • Use the correct escalation channels in the event of subjective decision making
  • Delivering bespoke supervision reports to key firms

Suitable applicants must be DipFA L4 qualified. An aditional CeMAP L3 qualification would be a strong advantage in order to assist with Mortgage & Protection based cases, however this is not essential providing full L4 DipFA is held.

Work Location:

As this is a field-based role, there is no expectation for office based working. Therefore a suitable candidate will be someone who is able and willing to work remotely with autonomy, and the ability to manage their own diary. The patch we will be looking for the successful candidate to cover would be South-East UK.

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