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Assessing whether all significant risks are identified and appropriately reported by Management and the Risk function to the Board, Executive Management and the Audit and Risk Committees of Quilter;
Assessing whether risks are adequately controlled; and
Finding ways to improve the effectiveness of governance, risk management and the system of internal controls, with a particular focus on Wealth Management and associated retail distribution related risks.
The role combines:
Dedicated audit reviews of areas within scope of the role;
Thematic reviews spanning the entire group; and
Core assurance activities which aim to monitor key risks and progress of strategic initiatives and projects.
The Quilter Group is a leading provider of advice, investments and wealth management, with a portfolio of £118.7 billion of investments on behalf of over 900,000 customers worldwide (as at October 2019). Our focus is on creating prosperity for the generations of today and tomorrow by providing financial solutions for investors around the globe, and we operate primarily in two main segments – Advice & Wealth Management and Wealth Platforms. You won't just find diverse, talented and friendly teams here. You'll also discover an inclusive culture and every opportunity for personal and professional development.
About the role
You will develop a thorough understanding of Quilter's business processes, risk profile and strategic objectives and apply this in ongoing audit work, proactively reacting and responding to the evolving demands on the business. You'll provide input into the development and ongoing appropriateness of GIA's risk-based audit plan to assess the effectiveness of governance, risk management and systems of internal control.
You'll engage with business process owners to agree audit scope and deliverables, taking responsibility for end-to-end audit delivery on a timely basis and within budget, through the supervision, execution (including fieldwork) and reporting of audit assignments, including those with a particular focus on Wealth Management and associated retail distribution related risks such as suitability, vulnerable customers and related regulatory expectations.
You'll provide clarity of messaging, both verbally and in report writing which clearly communicates control weaknesses identified and demonstrates application of root cause analysis to drive impactful value add audit findings, and will develop, coach and manage Audit Specialists to support their ongoing development and in the execution of the annual audit plan.
You'll support in the development of opinions on the risk and control environment across the Group, seek and analyse relevant information and integrate data from different sources, support in Audit and Risk Committee reporting and deliver multiple audit assignments on time, in accordance with IA methodology and agreed quality standards.
You'll establish, influence, build and maintain relationships with key stakeholders and be accountable for understanding the risks and control environment within your areas of focus (leveraging both stakeholder relationships and industry expertise and networking), most notably in relation to Wealth Management and will support in the delivery of GIA's continuous improvement programme, including through the implementation of innovative approaches and applying the use of Data Analytics, Agile Auditing and Continuous Risk Monitoring.
You'll have experience of performing a risk and controls/ regulatory focused role e.g. Internal or External Audit, Risk or Compliance and will be comfortable managing audits requiring multi-disciplined teams, working collaboratively with peers.
You'll have strong technical skills and advanced understanding of risk and controls in the wealth management environment, to include preferably the following areas:
Vulnerable customers; and
Wealth Management regulatory environment.
Exposure/ involvement in 'customer experience' is an additional benefit;
You'll have experience of stakeholder relationship management at a senior level including Business Unit CEOs and Group Executives; and have had exposure to leading and managing specialist audit teams, including development, coaching and budgets.
You'll be hold a relevant specialised qualification, for example ACA, ACCA or IRM. Involvement in industry professional bodies would be advantageous.
No matter what job you do you should feel valued and appreciated. That's why we offer a competitive total reward package, which enables our employees to share in the success they help to create.
Holiday: 26 days
Quilter Incentive Scheme: All employees are eligible to participate in our incentive scheme, based on the company's performance and their contribution to it
Pension Scheme: 10% non-contributory company pension scheme that can be boosted through personal contributions
Private Medical Insurance: Single cover as standard, cover can be increased at your own cost
Life Assurance: 4x your salary, cover can be increased at your own cost
Income Protection: 75% of salary payable after 26 weeks of absence
In addition to our core benefits we offer a range of flexible benefits that you can choose from and pay for conveniently via a salary deduction.
At Quilter, we're committed to creating an inclusive culture that embraces diversity. We promote equal opportunities and make sure no applicant receives less favourable treatment on the grounds of gender, marital status, nationality, ethnicity, age, sexual orientation, responsibilities for dependants, physical or mental disability. We select candidates for interview based purely on their skills, qualifications, experience and potential.