Firm Compliance Partner

About the Business

Quilter plc is a leading wealth management business, helping to enable brighter financial futures for every generation.

Quilter oversees £157.4 billion in customer investments (as of August 2026). It has an adviser and customer offering spanning financial advice, investment platforms, multi-asset investment solutions, and discretionary fund management. The business is comprised of two segments: Affluent and High Net Worth.

Affluent encompasses the financial planning business, Quilter Financial Planning, the Quilter Investment Platform and Quilter Investors, the multi-asset investment solutions business.

High Net Worth includes the discretionary fund management business, Quilter Cheviot, together with Quilter Cheviot Financial Planning – offering a highly personalised service to private clients, charities, trustees, and professional partners. Quilter Cheviot has presence throughout the UK, Ireland and Channel Islands.

At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one step ahead and make an even greater difference to the people and communities we serve, including our colleagues.

Our business is transforming, continually modernising, and becoming even more customer centric. So, if you want to be bold in the pursuit of your ambitions, bring new ideas, and challenge and evolve what we do, it’s the perfect time to join us!

About the Role

Level: Level 4

Department: Supervision & Oversight (QFP)

Location: Home-based

Contract type: Permanent, Full-Time

As a Firm Compliance Partner within Quilter Financial Planning, you will provide regulatory oversight for a varied portfolio of appointed representative firms. Your portfolio will include routine firms and smaller bespoke businesses that are suitable for primarily remote supervision, with occasional travel where the circumstances or risk profile of a firm require it.

You will take end-to-end ownership of your firms, building effective working relationships with Firm Principals and developing a strong understanding of how their businesses operate. You will provide practical support and guidance while retaining the independence and confidence to challenge constructively where regulatory requirements or Network standards are not being met.

You will plan and complete firm attestation reviews and governance assessments, using evidence and professional judgement to assess each firm’s governance, systems and controls. Where concerns or weaknesses are identified, you will agree proportionate action plans, establish clear timescales and monitor progress through to completion.

You will take ownership of identified issues through to an appropriate conclusion, escalating material concerns through the relevant channels when required. You will also support the pre-vetting of firms looking to join Quilter, assessing compliance and conduct risks, providing appropriate challenge and contributing to informed onboarding decisions.

The decisions you make will directly support good customer outcomes by helping firms identify weaknesses early, strengthen their controls and deliver advice and ongoing service to the standards customers should expect.

This is a home-based role where supervision is delivered primarily through Microsoft Teams. You will plan and manage your own workload while contributing to a highly skilled and collaborative team.

Occasional travel will be required where this is appropriate to the needs of the firm or the supervision being undertaken.

About You

You will be a confident communicator, particularly skilled in questioning, and be able to display sound judgment when assessing risks and developing action plans. You will also have strong analytical approach and inquisitive nature.

You will bring a wealth of existing experience working within a compliance role and be competent in providing feedback to advisers/firm principals.

Experience of Network/National and IFA/restricted advice models is desirable.

A Compliance & Risk qualification is essential, and all candidates must be QCF Level 4 or equivalent.

#Quilter

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.

Originally posted on Himalayas