At a Glance
- Tasks: Lead compliance monitoring reviews and coach team members to ensure quality outputs.
- Company: Join a forward-thinking financial services firm committed to compliance and inclusivity.
- Benefits: Enjoy 26 days holiday, private medical insurance, and a generous pension scheme.
- Other info: Dynamic work environment with opportunities for professional growth and development.
- Why this job: Make a real impact in compliance while developing your leadership skills.
- Qualifications: Experience in compliance monitoring and strong communication skills are essential.
The predicted salary is between 55000 - 65000 £ per year.
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.
Leadership
- 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
- 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.
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 employer: Quilter
Quilter is an exceptional employer that prioritises employee growth and development, particularly in the role of Senior Compliance Manager. Located in London, we foster a collaborative work culture that values diversity and inclusivity, offering comprehensive benefits such as a generous holiday allowance, a non-contributory pension scheme, and private medical insurance. Our commitment to mentoring and supporting our team members ensures that you will thrive in your career while contributing to meaningful compliance initiatives.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Manager - Compliance Monitoring
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field, especially those who work at Quilter or similar firms. A friendly chat can open doors and give you insider info on the role.
✨Tip Number 2
Prepare for the interview by brushing up on your knowledge of FCA regulations and compliance monitoring frameworks. We want you to show off your expertise and how you can add value to the team!
✨Tip Number 3
Practice your storytelling skills! Be ready to share examples of how you've led teams or tackled complex compliance issues. We love hearing about real experiences that showcase your leadership and analytical skills.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, it shows you’re genuinely interested in joining our team at Quilter.
We think you need these skills to ace Senior Compliance Manager - Compliance Monitoring
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter to highlight your experience in compliance monitoring and leadership. We want to see how your skills align with the role, so don’t hold back on showcasing your relevant achievements!
Showcase Your Communication Skills:Since strong communication is key for this role, use clear and concise language in your application. We love seeing candidates who can articulate their thoughts well, so make sure your writing reflects that!
Highlight Your Teamwork Experience:We value collaboration, so share examples of how you've worked effectively within a team. Mention any mentoring or coaching experiences you’ve had, as this will resonate well with us and show your leadership potential.
Apply Through Our Website:Don’t forget to submit your application through our website! It’s the best way for us to receive your details and ensures you’re considered for the role. 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 relevant regulations, especially those from the FCA. Being able to discuss how these regulations impact compliance monitoring will show that you’re not just familiar with the rules but can also apply them in real-world scenarios.
✨Showcase Your Leadership Skills
Since the role involves coaching and mentoring, be prepared to share examples of how you've supported team members in the past. Highlight your experience in line management and how you’ve helped others grow professionally.
✨Demonstrate Attention to Detail
During the interview, emphasise your strong attention to detail. You might be asked to analyse a compliance scenario, so practice articulating how you would approach it, ensuring you highlight the 'so what' factor in your findings.
✨Build Relationships
Discuss your experience in developing strong working relationships across different lines of defence. Be ready to provide examples of how you’ve collaborated with stakeholders to enhance compliance processes and address risks effectively.
