Compliance Manager

2 weeks ago

London, UK, United Kingdom Quilter Full time
Fixed Term Contract Duration - 11 Months

About the Business

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.

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

This role will support the Head of Compliance Advisory and Compliance Advice Manager in delivering an effective and credible compliance advice service to the Affluent segment.

Affluent Compliance Director

About the Role

Level: 4

Department: Risk

Location: Southampton, United Kingdom or London, United Kingdom

Contract type: Fixed Term Contract

Contract Duration: 12 months

Non-regulated
  • Assist with providing expert compliance advisory support and guidance to the Quilter Affluent segment, including representing the Risk Function at appropriate business for a to provide input to issue resolution, regulatory change implementation, business change or strategic developments.
  • Provide analysis of standards, processes and procedures operated within the Business when required.
  • Support the creation and delivery of compliance training.
  • Review and approve financial promotions in accordance with the financial promotion rules.
  • Monitor the Compliance Inbox and escalate queries to the Head of Compliance Advice or advise the business as applicable.
  • Liaise with and provide ad-hoc compliance advice to the business.
  • Review notifications to Compliance, including but not limited to Gifts & Entertainment, PA Dealing and Conflicts of Interest and challenge these as necessary.
  • Supporting the Head of Compliance, CRO and wider function in ensuring the embeddedness of the risk management framework.
  • Assist the Head of Compliance Advice and Compliance Advice Manager with other tasks as required.
About You

Applications from people with diverse backgrounds enables our inclusive organisation to thrive. If you feel you don't match our job description exactly, why not take a chance on yourself and apply? You could be exactly what this role needs.

You will have:
  • Compliance management experience gained within a financial services organisation(s).
  • Knowledge and experience of UK financial services and regulatory context.
  • Having a compliance professional qualification(s), financial advice qualifications or equivalent experience is desirable but not essential.
Do 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.

#LI-IC1

Inclusion & Diversity

We 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.

Values

Do 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 Benefits

Holiday: 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.

Healthcare Cash Plan: Jersey employees only.

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

In 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.

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