Compliance Manager - Framework & Policy - Quilter

ZipRecruiter; London; Hybrid; GBP 50,000 - 70,000; Full time

Job summary

A leading wealth management firm in London is seeking a Compliance Manager to develop and oversee the Compliance Framework and ensure alignment with FCA regulations. The ideal candidate will possess extensive knowledge of the FCA Handbook and strong communication skills. This role offers competitive benefits and the opportunity to work within a transformative team focused on achieving client ambitions.

Benefits

Holiday: 26 days

Pension Scheme

Private Medical Insurance

Qualifications

• Experienced in FCA regulatory environment with management experience.
• Skills in developing Compliance Frameworks and Policies.
• Ability to explain complex topics and provide feedback.

Responsibilities

• Lead the development of the Compliance Framework.
• Deliver compliance training and awareness programs.
• Serve as the central contact for compliance matters.

Skills

Expert knowledge of FCA Handbook

Strong communication skills

Pragmatic approach to regulation

Education

Compliance related professional qualification

Job description

Overview

Quilter plc is a leading wealth management business, helping to enable brighter financial futures for every client. Quilter oversees £126.3 billion in customer investments (as of August 2025) with 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. 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: 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, you will lead the development and oversight of a robust Compliance Framework that defines Quilter\'s compliance standards. This includes ensuring alignment with the FCA Handbook\'s High-Level Standards, Prudential Standards, Regulatory Processes, and Specialist Sourcebooks. You will play a key role in delivering compliance training and awareness initiatives, supporting the investigation and resolution of compliance issues, and ensuring a centralised and consistent approach to the application and documentation of regulatory rules across the organisation. Additionally, you will act as the central point of contact for all matters relating to regulatory permissions and authorisations for both firms and individuals.

Responsibilities

• Owner of a centralised Group Compliance framework, based on the applicable sections of the FCA handbook, setting out the rules and context for each relevant Compliance Policy and/or Procedure, consider the appropriate risk appetite levels; and be cognisant and aligned to Quilter\'s strategic objectives, and Ethical standards.
• Provision of advice and guidance relating to FCA High-Level Standards, Prudential Standards, and Regulatory processes, as set out in the FCA handbook.
• Create and maintain a centralised Compliance Manual, setting out the regulatory framework within which Quilter Group of companies operate.
• Oversight of the process for maintaining the accuracy of FCA register, for each Quilter legal entity, leading on the guidance of any amendments required and submission of applications.
• Develop and deliver training and awareness programmes for employees, covering both general regulatory awareness and the existence and application of the Compliance framework, supporting the culture of compliance throughout the Group.
• Be the focal point of contact for all employees on all matters relevant to the Group Compliance framework, and in addition support business change programmes with understanding of the Framework requirements.
• Responsible for working closely with Risk & Compliance colleagues, to monitor and therefore the provision of the annual attestation of compliance with each Compliance policy.
• Work closely with Risk & Compliance partners to ensure understanding of Compliance Policies and to ensure Policies also remain aligned to strategic and business objectives.
• Evaluate and opine on the requests for waivers against Compliance Policies.
• Support the Head of Group Compliance as required and work closely with Risk & Compliance colleagues to provide guidance and support where necessary.

About You

You will have:

• Detailed and expert knowledge of the advice market in UK financial services with expert level knowledge of the FCA Handbook, in particular High-Level Standards and Regulatory Processes.
• Worked in an FCA regulatory environment and have management level experience and therefore can demonstrate your practical experience of supporting advice (all permissions) businesses, across all distribution channels.
• Experience of developing Compliance Frameworks and Policies and can demonstrate a pragmatic approach to determining the application of regulation to business objectives.
• You will strong communication skills and can explain complex topics, provide feedback, and produce excellent written material.
• A compliance related professional qualification.
• A financial advice qualification or equivalent experience is desirable but not essential.

Inclusion & Values

We value 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 client.

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
• Flexible Benefits: 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.