Compliance Oversight Specialist

4 weeks ago


Southampton, Southampton, United Kingdom Quilter plc Full time

Salary: £60,000 - £80,000 per annum

About the Role

This Compliance Oversight Specialist role will be responsible for delivering compliance monitoring and thematic review activities across the Affluent segment at Quilter plc.

The successful candidate will leverage support from other Risk teams where required, and provide services to the high net worth segment, Quilter Cheviot, as needed.

  • 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.
About You

To be successful in this role, you will have experience working in compliance monitoring, assurance, or auditing gained within financial services organizations, preferably in investments and financial advice.

You should possess a good understanding of risk and regulation, particularly FCA, and have strong planning, analytical, and communications skills, including the ability to influence others.

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

About Quilter plc

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.

We offer a range of flexible benefits to UK employees, which you can choose from and pay for conveniently via a salary deduction.



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