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Senior Compliance Manager

2 months ago

London, Greater London, United Kingdom Quilter Full time
About the Role

This is a key position within the Compliance Monitoring & Thematic Reviews Team, responsible for leading and overseeing the development of Compliance Analysts. The successful candidate will take charge of designing and delivering continuous monitoring and surveillance activities as part of the annual plan.

Key Responsibilities
  • Develop, manage, and provide technical support to a team of Compliance Analysts in relation to continuous monitoring, surveillance, and other compliance-related tasks.
  • Provide guidance and support on the scope and approach of continuous monitoring, taking the lead on complex or challenging activities as needed.
  • Assist the Head of Compliance Monitoring & Thematic Reviews with other surveillance and oversight activities as required.
  • Ensure the quality of review documents and outputs, highlighting the value added for Quilter and addressing compliance risks.
  • Align with the Quilter Compliance Monitoring Framework for consistent review delivery and identify opportunities for framework enhancement.
  • Develop and maintain strong working relationships with stakeholders across 1st, 2nd, and 3rd lines of defence.
Leadership and Development
  • Use in-depth knowledge and experience to train direct reports in compliance monitoring and thematic review activity, and to develop the Analysts in wider Compliance skills.
  • Provide support and mentoring to other risk colleagues, sharing learnings and experience to assist with their professional development.
  • Ensure alignment to the Quilter Compliance Monitoring Framework for consistent review delivery and identify opportunities for framework enhancement.
  • Develop and maintain strong working relationships with stakeholders across 1st, 2nd, and 3rd lines of defence.
Requirements
  • Experience in line management, and/or coaching or mentoring less experienced team members.
  • Experience of working in compliance monitoring, assurance, or auditing gained within financial services organisations, preferably in investments and financial advice.
  • Good understanding of risk and regulation, particularly FCA.
  • Strong attention to detail, and the ability to see the bigger picture.
  • Strong planning, analytical, and communications (both verbal and written) skills are essential, along with the ability to influence others.
  • High energy and drive, and the ability to work well on your own or within a team.
  • Resilience and perseverance - key attributes needed to complete monitoring reviews on time and handle objections and challenging conversations.