About the BusinessQuilter plc is a leading provider of financial advice, investments and wealth management, committed to being the UK's best wealth manager for clients and their advisers. 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. 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. About the RoleLevel - 4Department- ComplianceLocation - London/ SouthamptonContract - PermanentAs a Compliance Manager your role within the second line function is the provision of generalist compliance advice and guidance on regulatory rule interpretation and application and supporting the Compliance team with the oversight and assurance of actions relating to Compliance Policies. General Compliance technical specialist providing advice and guidance on FCA handbook modules with specific emphasis on High Level Standards, Regulatory Processes and Supervision. Oversight of Personal Account Dealing records, conducting appropriate monitoring, to confirm adherence to Policy requirements. Oversight of the Gifts & Hospitality registers, conducting appropriate monitoring, to confirm adherence to Policy requirements. Providing guidance on, and the monitoring of, the centralised Conflicts of Interest register, including monitoring of Other Business Interests. Analysing and reporting of regulatory breach records, in line with Quilter Policy and Standards. Supporting the business with the delivery of requirements specific to the Senior Managers Certification Regime. Working closely with the regulatory liaison team, supporting regulatory reporting (internal and external)Production of timely and accurate reports of Compliance related matters. to ensure knowledge and understanding of the Compliance framework. About YouYou are an experienced Compliance professional with a strong understanding of FCA regulation and a track record of providing pragmatic, risk-based advice within a UK regulated financial services environment. Proven experience providing Compliance advice within an investment management, wealth management, or financial advice/distribution business. Strong knowledge of FCA regulatory requirements and their practical application within a UK regulated firm. The ability to produce clear, concise, and effective reports, policies, and documentation, translating complex regulatory matters into practical guidance. Strong operational and organisational skills, with experience leveraging technology and AI tools to enhance Compliance processes and efficiency. Experience designing, implementing, and maintaining Compliance policies, frameworks, and procedures. A proactive, solutions-focused approach, aligned with Quilter's values and committed to delivering high standards of governance and regulatory compliance#LI-KH1Inclusion & DiversityWe value diversity and strive to promote inclusivity in all aspects of our culture. 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. Combining our diverse talents, we accomplish more collectively than we ever could do alone. 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. Healthcare Cash Plan: Jersey employees onlyIn 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. SouthamptonType: Full time
Director, Regulatory Affairs & Quality in London employer: Quilter
Quilter plc is an exceptional employer, offering a dynamic work environment in London where innovation and collaboration thrive. With a strong commitment to employee growth, you will have the opportunity to engage with diverse teams and contribute to strategic initiatives within the asset management division. Our inclusive culture, comprehensive benefits package, and focus on integrity and curiosity make Quilter a rewarding place to build your career.
