At a Glance
- Tasks: Provide regulatory oversight and support for complex financial firms, ensuring compliance and risk management.
- Company: Join Quilter plc, a leading wealth management business with a focus on innovation and customer service.
- Benefits: Enjoy competitive salary, generous holiday, private medical insurance, and a non-contributory pension scheme.
- Other info: Flexible home and field-based role with opportunities for professional growth.
- Why this job: Make a real impact in the financial sector while developing your skills in a dynamic environment.
- Qualifications: Experience in compliance monitoring and a QCF Level 4 qualification are essential.
The predicted salary is between 56700 - 69300 £ per year.
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: Homeworker, United Kingdom (Field Based, travelling around the Southeast/Kent area)
- Contract type: Permanent – Full Time
As a Senior Firm Compliance Partner within Quilter Financial Planning, you will provide proportionate regulatory oversight for a portfolio of complex, higher-risk or higher-touch appointed representative firms. You will use each firm’s characteristics, behaviours and risk profile to determine the appropriate level of supervision, helping to identify and address customer, regulatory, reputational and operational risks.
You will take end-to-end ownership of your firms and act as their principal compliance contact. By building strong and credible relationships with Firm Principals and working collaboratively with Distribution and other internal stakeholders within the wider Assurance & Oversight function, you will develop an in-depth understanding of how each business operates. You will provide practical support and guidance while retaining the independence and confidence to deliver constructive challenge where regulatory requirements or Network standards are not being met.
You will plan and deliver annual assessments, targeted inspections and supervisory visits, using evidence and professional judgement to assess the effectiveness of each firm’s governance, systems and controls. Where concerns or weaknesses are identified, you will clearly communicate your findings, agree proportionate action plans and ensure that issues are addressed within the required timescales.
You will take ownership of material or complex issues through to an appropriate conclusion, applying the relevant controls and escalating concerns through the appropriate channels where necessary. You will also support the pre-vetting of prospective firms looking to join Quilter, assessing compliance and conduct risks, providing appropriate challenge and contributing to informed onboarding decisions.
Alongside providing regulatory oversight for a designated panel of complex, higher-risk or higher-touch appointed representative firms, you will also provide technical support, coaching and oversight on complex supervisory matters to Firm Compliance Partners. You will contribute to quality calibration and help the team reach consistent, well-evidenced supervisory judgements, particularly where cases are complex or require a higher level of experience.
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 and field-based role, with supervision delivered remotely and face to face according to the risk and needs of each firm. You should expect to spend an average of two days a week in the field, while planning and managing your own workload and contributing to a highly skilled and collaborative team.
About You
Our ideal candidate will be able to bring a high-level of experience within field supervision or compliance monitoring and be a competent assessor for firms and advisers. You will be a strong relationship builder and confident communicator, particularly skilled in questioning, and be able to display sound judgment when assessing risks and developing action plans. You will also have a strong analytical approach and inquisitive nature. 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.
Summary
- Location: England (Home Workers); London
- Type: Full time
Senior Firm Compliance Partner 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.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Firm Compliance Partner in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Quilter looking for candidates who are engaged and informed.
We think you need these skills to ace Senior Firm Compliance Partner in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Quilter. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Quilter
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Quilter’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
