Business Assurance Specialist

About the Business

Quilter Cheviot has been the wealth manager of choice for individuals and families for over 250 years and today is one of the UK’s largest wealth management firms offering expert discretionary investment management and financial advice. We offer a highly personalised wealth management offering to private clients, charities, trustees, and professional partners with straightforward or more complex financial needs. We have presence throughout the UK, Ireland, Dubai and Channel Islands.

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.

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.

• 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.

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…