Compliance Manager - Central Support

Quilter; Southampton; On-site; GBP 50,000 - 70,000; Full time

Job summary

A leading financial services firm seeks an experienced Compliance professional in Southampton. The role includes monitoring regulatory compliance, providing guidance on legislation, and engaging with stakeholders. Candidates should have a professional qualification in risk management and a minimum of 5 years in a similar role. The position offers a competitive benefits package including a pension scheme and private medical insurance.

Benefits

26 days holiday

Pension scheme

Private medical insurance

Life assurance

Qualifications

• Recognised professional qualification in risk management or compliance.
• Minimum of 5 years’ experience in risk management or compliance.
• Strong communication skills with senior management.

Responsibilities

• Monitor and oversee the Group Compliance framework.
• Provide advice on regulatory rule interpretation.
• Produce reports on Compliance related matters.

Skills

Risk management

Compliance legislation

Communication skills

Stakeholder engagement

Education

ICA Diploma in Governance, Risk and Compliance

Job description

About the Role

Level - 4

Department - Risk

Location - London/Southampton

Contract - Permanent

The Risk & Compliance function at Quilter is home to teams responsible for maintaining the Risk & Compliance Framework that supports the Quilter Group of Companies. This includes first-line compliance monitoring, the Data Guardian Office, and the Enterprise Risk Management team.

In this role your primary focus is accountability for the monitoring, recording, and oversight of the Group Compliance framework, including the provision of advice and guidance on regulatory rule interpretation and application.

Key Responsibilities and Scope of Role

• Supporting the tracking of regulatory changes and providing guidance on the interpretation and application of change.
• Framework for identifying and reporting any regulatory breaches, ensuring timely resolution and root cause analysis, reporting outcomes to senior management as required.
• Oversight of Personal Account Dealing records, conducting appropriate monitoring, to confirm adherence to Policy requirements, with relevant reporting to Senior Management.
• Oversight of the Gifts & Hospitality registers, conducting appropriate monitoring, to confirm adherence to Policy requirements, with relevant reporting to Senior Management.
• Developing and owning the framework for the submission of, and ongoing monitoring of, regulatory waivers.

• Providing guidance on, and the monitoring of, the centralised conflicts of interest register
• Maintaining Compliance records of group application of all relevant High-Level Standards, Prudential, and Regulatory processes of the FCA handbook.
• Oversight of the operations of 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.
• Developing and maintaining strong working relationships with stakeholders across first and second line, to ensure knowledge and understanding of the Compliance framework

About You

We are seeking a dedicated and experienced professional who exemplifies Quilter’s values and brings a strong background in risk management and compliance legislation. The ideal candidate will have excellent communication skills and a collaborative approach to working with colleagues and stakeholders. Below are the essential qualifications and skills required for this role:

• Recognised professional qualification in risk management or compliance (e.g., ICA Diploma in Governance, Risk and Compliance) or equivalent.
• Experience in compliance, with an understanding of relevant regulatory and legislative requirements.
• A minimum of 5 years’ experience in a risk management or compliance role within a regulated financial services firm.
• Strong communication and stakeholder engagement skills, particularly in relation to senior management.
• Ability to produce clear and concise reports and documentation, ensuring complex information is accessible and understandable.
• Experience in the design and implementation of compliance policies and procedures.

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.