Quilter plc is a leading wealth management business, which oversees £126.3 billion in customer investments (as at 6th August 2025). It has an adviser and customer offering spanning financial advice, investment platforms, multi-asset investment solutions and discretionary fund management.
If you want to play a part in shaping the future of our business, bringing new ideas and challenge then now is a great time to join us.About the Role
Level: 3
Location: Birmingham, London, Carlisle, Exeter, or Leeds - Hybrid working
Department: Business Assurance
Contract: Permanent
The Quilter Cheviot Business Assurance team works directly with several stakeholders within the business. The core purpose of the team is to protect the business and the client by monitoring the quality of advice delivered, identify any remedial actions and ensure good client outcomes.
• The role will involve providing an independent oversight of the effective operations of the core compliance and regulatory risk control activities. This will involve reviewing and assessing financial advice. It will also involve supporting the team with any wider thematic reviews.
• You will be vital in helping the review and refinement of key processes. Being part of this new team at this early stage will help you become pivotal in shaping Quilter Cheviot Financial Plannings future aspiration.
• The role will be instrumental in assuring the advice checked meets all regulatory expectation. Feedback will need to be given where these expectations are not met Through support and professional communication our aspirations are for market leading right first time rates
Responsibilities
• Deliver Business Assurance control checks and Business Assurance reviews, based on the framework of QCFPs business standards and processes.
• Manage your workload in order that we complete Business Assurance activity within acceptable timescales.
• Work constructively with Financial Planners and Paraplanners where cases require collaboration, while maintaining professional impartiality.
• Ensure professional learning is undertaken and embedded as a result of roll out of new standards, outcomes from Quality Assurance or other upskilling opportunities.
• Update internal systems to record progress and outcomes of reviews undertaken.
• Support with remediation cases where potential or confirmed customer detriment is identified, where applicable.
• Adhere to all Business Assurances policy and procedures. Escalate any breaches of regulation or infringement of internal processes.
Consumer Duty
This role will directly impact good customer outcomes by ensuring the suitability of advice of cases checked on a pre-approval and post implementation basis.
Price and Value will be addressed through review of initial and ongoing advice fees
Consumer Understanding will form a large part of this role, ensuring the Suitability Report will allow consumers to make informed decisions
• Experience of working in a Financial Service environment.
• A broad understanding of the Financial Planning markets in terms of Advice, Product Providers & Lenders.
• A broad knowledge and understanding of Financial Service Regulation such as RDR, MIFID ll, SDR, Supervision and Oversight, Data Protection, Anti-Money Laundering, Financial Crime, Data Security and Consumer Duty.
• Strong analytical approach and inquisitive nature.
• A professional attitude including a professional telephone manner and professional communication skills are essential.
• You will need the ability to cope under pressure and react quickly to changing priorities.
• You will need a good working knowledge of Excel, Word and PowerPoint. As well as management information via systems such as Xplan and Worksmart.
• Always demonstrate good customer outcomes.
• Contribute to building a great environment to work in.
• Operate effectively – treat the business as if it’s your own decision and task.
• Build on your own knowledge by self- learning, share knowledge and best practice with your colleagues.
Qualifications
Diploma Level 4 Qualified AF3 Pension Transfers (or equivalent preferred) CF6 (or equivalent preferred) ER1 (or equivalent preferred) CF8 (or equivalent preferred)
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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.
Private Medical Insurance: Single cover as standard with options to increase cover to include your partner or children.
Life Assurance: 4x your salary.
Income Protection: 75% of salary, less state benefits, payable after 26 weeks of absence.
Healthcare Cash Plan: Jersey employees only
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.
Skills Required
- Experience working in a Financial Services environment.
- Broad understanding of Financial Planning markets, advice, product providers and lenders.
- Broad knowledge of Financial Service Regulation (RDR, MiFID II, SDR), Supervision and Oversight, Data Protection, Anti-Money Laundering, Financial Crime, Data Security and Consumer Duty.
- Strong analytical approach and inquisitive nature.
- Professional communication skills and professional telephone manner.
- Ability to cope under pressure and react quickly to changing priorities.
- Good working knowledge of Excel, Word and PowerPoint.
- Experience with management information systems such as Xplan and Worksmart.
- Diploma Level 4 qualification.
- AF3 Pension Transfers (or equivalent).
- CF6 (or equivalent).
- ER1 (or equivalent).
- CF8 (or equivalent).
What We Do
As one of the UK’s leading wealth management companies, Quilter’s purpose is brighter financial futures for every generation. The businesses within our group aim to provide high quality products and services for the whole of your investment journey
