Compliance Manager - Compliance Monitoring & Thematic Reviews

London, United Kingdom; London; On-site; GBP 50,000 - 80,000; Full time

Job summary

A leading financial services provider seeks a Compliance Manager to oversee compliance monitoring and thematic reviews within the firm. This role involves auditing practices and ensuring adherence to FCA regulations while maintaining high standards in monitoring and reporting. Ideal candidates will possess strong analytical, communication, and planning skills, and have experience in compliance within financial services.

Benefits

182 hours holiday (26 days)

Incentive scheme participation

Non-contributory pension scheme

Private medical insurance

Life assurance (4x salary)

Income protection (75% of salary)

Qualifications

• Experience in compliance monitoring or auditing in financial services.
• Strong understanding of risk and regulation, especially FCA.
• High energy and delivery-focused with teamwork capabilities.

Responsibilities

• Conduct compliance monitoring and thematic reviews.
• Report findings and ensure adherence to regulatory standards.
• Manage reviews and actively support compliance activities.

Skills

Attention to detail

Planning skills

Analytical skills

Communication skills

Influencing skills

Resilience

Job description

Compliance Manager - Compliance Monitoring & Thematic Reviews

Compliance Manager - Compliance Monitoring & Thematic Reviews

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 £111.6 billion in customer investments (as at 31 March 2024). 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.

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.

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: 4

Department: Compliance

Location: London/ Southampton

Contract: Permanent

In this role you will perform compliance monitoring and thematic review activity across the Affluent function, leveraging support from other Risk teams where required, and providing services to the high net worth segment, Quilter Cheviot, as required. You will be responsible for delivering compliance monitoring, surveillance and oversight activities assigned to you, including:

• Undertaking rule based thematic monitoring reviews involving interpretation of regulation; designing and executing testing to assess Quilter's compliance; reporting findings to the business.
• Taking full ownership of reviews where allocated as review leader, and fully supporting the review leader where assigned in a supporting role, ensuring all tasks associated with a review are completed to a high standard.
• Completing periodic reviews and oversight of areas such as PA dealing, G&H, complaints.
• Undertaking investment surveillance activities.
• Assisting the Head of Compliance Monitoring & Thematic Reviews with other surveillance and oversight activities as required.
• Planning and prioritising time to ensure the successful execution of individual activities and the plan.
• Ensuring 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.
• Tracking agreed review actions to completion and supporting risk owners to understand their actions commitments through regular engagement and/or communication, and escalating any risks of overdue actions ahead of time; and
• Ensuring alignment to the Quilter Compliance Monitoring Framework for consistent review delivery and identify opportunities for framework enhancement.

About You

The successful candidate:

• Experience of working in compliance monitoring, assurance or auditing gained within financial services organisations, preferably in investments and financial advice
• 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

#LI-KH1 #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.

Quilter is one of the biggest names in financial services in the UK, providing financial advice, investments and wealth management to help our custome...

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