At a Glance
- Tasks: Lead compliance monitoring reviews and coach team members to ensure quality outputs.
- Company: Join Quilter plc, a top UK wealth manager with a commitment to innovation.
- Benefits: Enjoy 26 days holiday, private medical insurance, and a non-contributory pension scheme.
- Other info: Be part of a diverse team that values integrity, curiosity, and collaboration.
- Why this job: Make a real impact in compliance while developing your skills in a dynamic environment.
- Qualifications: Experience in compliance monitoring and strong leadership skills are essential.
The predicted salary is between 55000 - 65000 £ per year.
About the Business
Quilter 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. Quilter oversees £141.2 billion in customer investments (as of 31 December 2025). 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 - 5
Department - Compliance
Location - London
Contract - Permanent
You will take the lead on delivering compliance monitoring reviews. In addition, you will take responsibility for coaching and supporting other members of the team and overseeing the quality of their output.
Key responsibilities:
- Undertaking rule based thematic monitoring reviews involving: interpretation of regulation; designing and executing testing to assess Quilter’s compliance with regulatory expectations; and reporting findings to the business.
- Provide support and guidance on the scope and approach of compliance monitoring to others in the team and, where necessary, take the lead on complex or challenging activities.
- Ensure focus on the quality of review documents and outputs, highlighting the ‘so what’ factor, and being clear how these add value for Quilter and address compliance risks.
- Ensure alignment to the Quilter Compliance Monitoring Framework for consistent review.
- Develop and maintain strong working relationships with stakeholders across 1st, 2nd and 3rd lines of defence.
- Provide support and mentoring to other risk colleagues, sharing learnings and experience to assist with their professional development.
- Identify opportunities for monitoring framework and process enhancement.
- Assisting the Head of Compliance Monitoring & Thematic Reviews with other team activities as required.
About You
The successful candidate:
- Experience in line management, and/or coaching or mentoring less experienced team members.
- Experience of working in compliance monitoring, assurance or auditing gained within financial services organisations, preferably in investments.
- Good understanding of risk and regulation, particularly FCA.
- Strong attention to detail, and the ability to see the bigger picture.
- Strong planning, analytical and communications (both verbal and written) skills are essential, along with the ability to influence others.
- High energy and drive and be delivery focused, and the ability to work well on your own or within a team.
- Resilience and perseverance - key attributes needed to complete monitoring reviews on time and handle objections and challenging conversations.
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.
Senior Compliance Manager - Compliance Monitoring 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, we provide comprehensive benefits including a generous holiday allowance, a non-contributory pension scheme, and private medical insurance, all while fostering a culture of inclusivity and support. Join us to be part of a forward-thinking team that values integrity, curiosity, and collective success, making a meaningful impact in the financial services sector.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Manager - Compliance Monitoring in London
✨Tip Number 1
Network like a pro! Get out there and connect with people in the compliance field. Attend industry events, join relevant online forums, and don’t be shy about reaching out on LinkedIn. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by researching Quilter and its compliance culture. Understand their values and how they align with your own. Be ready to discuss how your experience in compliance monitoring can add value to their team. Show them you’re not just another candidate, but someone who’s genuinely interested in making a difference.
✨Tip Number 3
Practice your responses to common interview questions, especially those related to compliance challenges and how you’ve tackled them in the past. Use the STAR method (Situation, Task, Action, Result) to structure your answers. This will help you articulate your thoughts clearly and confidently.
✨Tip Number 4
Don’t forget to follow up after your interview! A simple thank-you email can go a long way in showing your appreciation and keeping you top of mind. Plus, it’s a great opportunity to reiterate your enthusiasm for the role and how you can contribute to Quilter’s success.
We think you need these skills to ace Senior Compliance Manager - Compliance Monitoring in London
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter for the Senior Compliance Manager role. Highlight your experience in compliance monitoring and how it aligns with Quilter's values and goals. We want to see how you can bring your unique skills to our team!
Showcase Your Leadership Skills:Since this role involves coaching and mentoring, don’t forget to mention any relevant leadership experience. Share examples of how you've supported others in their professional development. We love seeing candidates who can inspire and uplift their teammates!
Be Clear and Concise:When writing your application, keep it straightforward and to the point. Use clear language to explain your achievements and how they relate to the responsibilities of the role. We appreciate a well-structured application that makes it easy for us to see your potential.
Apply Through Our Website:We encourage you to submit your application directly through our website. This way, you’ll ensure it reaches the right people and you’ll get all the latest updates about your application status. Plus, it’s super easy to do!
How to prepare for a job interview at Quilter
✨Know Your Regulations
Make sure you brush up on the latest regulations and compliance standards relevant to the financial services sector. Being able to discuss specific regulations and how they apply to Quilter will show that you're not just knowledgeable but also genuinely interested in the role.
✨Showcase Your Leadership Skills
Since this role involves coaching and mentoring, be prepared to share examples of how you've successfully led teams or supported colleagues in the past. Highlight your ability to influence others and how you’ve contributed to their professional development.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance challenges or monitoring reviews. Think through potential scenarios and how you would approach them, focusing on your analytical skills and attention to detail.
✨Emphasise Team Collaboration
Quilter values teamwork, so be ready to discuss how you've worked effectively with different stakeholders in previous roles. Share examples of how you’ve built strong relationships across various lines of defence and how that has benefited your work.
