Compliance Manager

2 weeks ago

Southampton, Southampton, United Kingdom Quilter plc Full time
Job Description

Job Title: Compliance Manager - Risk Oversight Specialist

Company: Quilter plc

Location: Remote (with occasional travel to London and Southampton)

Job Type: Full-time

Contract Type: Fixed-term contract

Contract Duration: 6 months

Job Summary

We are seeking a highly skilled Compliance Manager to join our team at Quilter plc. As a Compliance Manager, you will be responsible for delivering compliance monitoring, surveillance, and oversight activities across the Affluent segment, leveraging support from other Risk teams where required.

Key Responsibilities

  • Undertake rule-based thematic monitoring reviews involving interpretation of regulation, designing and executing testing to assess Quilter's compliance, and reporting findings to the business.

  • Complete periodic reviews and oversight of areas such as PA dealing, G&H, complaints.

  • Assist the Head of Compliance Monitoring & Thematic Reviews with other surveillance and oversight activities as required.

  • Plan and prioritize time to ensure the successful execution of individual activities and the overall plan.

  • Ensure 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.

  • Track agreed review actions to completion and support risk owners to understand their actions commitments through regular engagement and/or communication, and escalate any risks of overdue actions ahead of time.

  • Ensure alignment to the Quilter Compliance Monitoring Framework for consistent review delivery and identify opportunities for framework enhancement.

Requirements

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

  • Good understanding of risk and regulation, particularly FCA.

  • Strong planning, analytical, and communications (both verbal and written) skills are essential, along with the ability to influence others.

  • Resilience and perseverance - key attributes needed to complete monitoring reviews on time and handle objections and challenging conversations.

What We Offer

  • 26 days of annual leave

  • Quilter Incentive Scheme: All employees are eligible to participate in our incentive scheme, based on the company's performance and their contribution to it

  • Pension Scheme: 10% non-contributory company pension scheme that can be boosted through personal contributions

  • Benefit Allowance: A cash benefit allowance is payable in lieu of some of our core benefits.

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