Investment Controls Analyst

Quilter; London; On-site; GBP 40,000 - 60,000; Full time

Job summary

Quilter is seeking an Investment Controls Analyst to join their London team. This role involves monitoring investment control activities, ensuring compliance with regulations, and supporting portfolio managers. The ideal candidate will have experience in asset management and a strong understanding of FCA regulations.

Benefits

26 days holiday

Incentive Scheme

Non-contributory Pension Scheme

Private Medical Insurance

Life Assurance

Income Protection

Flexible Benefits

Qualifications

• Experience in an asset management investment controls team.
• Familiarity with FCA/UCITS/NURS regulations.
• Knowledge of collective investment schemes and investment trusts.

Responsibilities

• Monitor investment control activities and oversee trade execution.
• Ensure compliance with best execution policies.
• Assist with implementing trading strategies and rebalancing activities.

Skills

Knowledge of FCA regulations

Investment controls experience

Ability to work under pressure

Initiative in process improvement

Tools

ThinkFolio

Aladdin

Charles River

Job description

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 £119.4 billion in customer investments (as at 31 December 2024). It offers financial advice, investment platforms, multi-asset investment solutions, and discretionary fund management. The business comprises two segments: Affluent and High Net Worth.

Affluent includes the financial planning business, Quilter Financial Planning, the Quilter Investment Platform, and Quilter Investors. High Net Worth includes the discretionary fund management business, Quilter Cheviot, and Quilter Cheviot Financial Planning.

At Quilter, we are constantly evolving, driven by our expertise and a desire to make a difference. We are transforming and modernising our business to be more customer-centric. If you are ambitious, innovative, and eager to challenge the status quo, this is the time to join us!

About the Role

Level: Level 4

Department: Quilter Investors

Location: London

Contract type: Permanent

The Investment Controls Analyst will report to the Investment Controls Manager. The role involves monitoring investment control activities, overseeing trade execution, and managing outsourced dealing activities. Responsibilities include ensuring funds are managed within regulatory and product-specific restrictions, trades are executed promptly, and funds receive best execution.

This is a regulated role requiring oversight of activities related to UCITs restrictions, best execution, and market abuse.

Trade Compliance

• Monitor and record investment breaches, ensuring systems are correctly coded and controls are robust.
• Collaborate with the product team on investment restrictions.
• Support Portfolio Managers/CIO with guidance on investment controls, especially during major rebalances or fund mergers.
• Build relationships with compliance, delegated managers, and depositaries regarding investment control matters.

Dealing Oversight

• Oversee daily dealing activities, including outsourced trades and internal trade implementations.
• Ensure compliance with best execution policies and regulatory expectations.

Product & Business Change

• Represent Investment Controls in business initiatives and new product launches.

Portfolio Implementation (Support)

• Assist with implementing trading strategies and rebalancing activities across platforms, including FNZ.

About You

You should have experience in an asset management investment controls team, with knowledge of FCA/UCITS/NURS regulations. Familiarity with order management systems like ThinkFolio, Aladdin, or Charles River is essential. Knowledge of collective investment schemes and investment trusts is required; derivatives knowledge is a plus.

You must work accurately under time pressure, adapt to changing priorities, and have demonstrated initiative in improving processes to reduce operational risks.

Inclusion & Diversity

We value diversity and promote inclusivity, ensuring equal opportunities for all based on skills and experience. We celebrate diversity and foster a respectful environment.

Values

• Do the right thing: Act with integrity and go above and beyond for clients and communities.
• Always curious: Seek new ideas and knowledge to stay ahead.
• Embrace challenge: Aim high and transform potential into outcomes.
• Stronger together: Collaborate, listen, support, and challenge constructively.

Core Benefits

• Holiday: 26 days (182 hours)
• Incentive Scheme: Participation available to incentivise performance.
• Pension Scheme: Non-contributory, with options to contribute.
• Private Medical Insurance: Single cover, with options to include family.
• Life Assurance: 4x salary.
• Income Protection: 75% of salary after 26 weeks.
• Healthcare Cash Plan: Jersey employees only.
• Flexible Benefits: Additional options available via salary deduction.