Compliance Manager
2 weeks ago
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 SummaryWe 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 ResponsibilitiesUndertake 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.
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.
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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