Compliance Manager - Central Support

Quilter

  • London
  • Permanent
  • Full-time
  • 12 hours ago
About the BusinessQuilter plc is a leading wealth management business, helping to enable brighter financial futures for every generation.Quilter oversees £126.3 billion in customer investments (as of August 2025). 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 – 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. 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 RoleLevel - 4Department- RiskLocation - London/SouthamptonContract - PermanentThe 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 registerMaintaining 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 RegimeWorking 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 frameworkAbout YouWe 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 a 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.#LI-KH1Inclusion & DiversityWe 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.ValuesDo 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 BenefitsHoliday: 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 onlyIn 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