Compliance Manager

1 week ago

London, UK, United Kingdom Quilter Full time
About the Business

Working alongside our sister company, Quilter Cheviot, Quilter Cheviot Financial Planning provides highly personalised and comprehensive financial advice for individuals and families with needs such as significant investments, estate planning and preparing for retirement. We are part of Quilter plc, a leading provider of advice, investment platforms, multi-asset investment solutions and discretionary fund management which is listed on the London and Johannesburg stock exchanges and manages over £111.6 billion of client investments (as at March 2024).

Our business is transforming to bring together our investment management and financial planning services under the Quilter Cheviot brand so that we can offer clients a fully integrated wealth management service.
If you want to play a part in shaping the future of our business, bringing new ideas and challenges, then now is a great time to join us.
• This role is part of the Quilter Cheviot Risk and Compliance Team
• We are looking for individuals who have a confident approach, will be self-motivated with good interpersonal skills. Work independently but also be part of a collaborative team keeping the end client in mind at all times.
• Whilst this isn't a directly customer facing role, the duties you will perform will contribute to the overall positive outcomes for our clients.

About the Role

Level: 5

Location: London

Contract type: Permanent

Department: Risk

The Compliance Financial Planning Manager will act as a Financial Planning SME leading the provision of second line regulatory and compliance policy guidance for our financial planning activity. The role will provide advice and support to the 1LOD, and will assist in ensuring that QC personnel and key stakeholders conduct their business in accordance with the requirements of the relevant regulatory environments, internal risk appetite and policies and standards.

The core responsibilities of the role are as follows:
  • oversee the delivery of 2LOD risk assurance activity by conducting risk assessments of business lines, formulating the annual testing plan in conjunction with a third-party compliance consultant to conduct reviews of adviser files to ensure customers are receiving the right outcomes.
  • oversee 1LOD investigations into material matters that are identified, including but not limited to whistleblowing escalations, adviser conduct issues, escalations from 1LOD, requests from the regulator, or risks identified as a result of 2LOD or 3LOD monitoring, analysis, or other assurance work.
  • support the QC Chief Risk Officer in co-ordinating and communicating with the FCA in the completion of information requests and any resulting ongoing investigation work, co-ordinating closely with the Central Regulatory Liaison team.
  • support the QC Chief Risk Officer in maintaining an effective second line framework for QC, including supporting on strategic initiatives as needed.
  • constructively influence and partner with key internal stakeholders, including the QC Executive team, providing incisive risk analysis, and challenging on QC risk profile and its management.
  • partner with other assurance/risk teams across Quilter, to develop an effective overall 'three lines' control framework.
  • oversee the gathering, analysis, challenge and testing of data sources, management information and other intel available across QC, including from customers directly, to identify emerging and crystallised compliance risks and investigate these, challenging 1LOD in their controls and mitigations and holding 1LOD to account for consistency and application of standards and processes.
  • oversee the tracking and oversight 1LOD delivery of regulatory returns in RegData, ensuring these are submitted on time and have been approved by the appropriate SMF return owner.
  • oversee administration tasks in relation to the Senior Managers and Certification Regime (SMCR), including Senior Manager approved persons applications and FS Register maintenance.
  • prepare and provide necessary guidance on regulatory horizon management information to support regulatory risk reporting to the QC senior management team, regulated Boards and Audit and Risk Committees.
  • assist with QC's strategy for responding to regulatory developments by overseeing the co-ordination of responses to regulatory publications and ensuring these are consistent with Quilter policy.
  • provide a regulatory and compliance advisory service, which covers, but is not limited to a range of services such as ensuring QC compliance standards and practices meet regulatory expectations and are consistently interpreted across the business and delivering good customer outcomes and escalating concerns where customer outcomes may be negatively affected, or regulatory expectations are not being met.
  • support and oversee regulatory and/or compliance technical change initiatives impacting the financial planning business, providing advice and challenge to ensure full compliance within agreed regulatory deadlines within accepted project management disciplines.
  • work collaboratively with senior managers across the business area, taking responsibility for the development, maintenance, and effectiveness of QC compliance standards across the business to ensure consistency of approach and application, ensuring that these meet regulatory expectations and are consistent with agreed Quilter regulatory tolerances, internal policy, and risk appetite limits.
  • support the creation and relevant delivery of compliance training content on all applicable regulations and legislations to ensure the interests of QC and its clients are protected.
  • support the attestation of compliance with Group policies and standards owned within the Compliance team.
  • develop and maintaining a robust record keeping system that records all guidance issued from the team.
  • provide high quality, incisive and timely reporting on regulatory and conduct risk, that satisfies executive and Board stakeholders at both at QC and Quilter plc level.
  • provide effective challenge and insight to the QC governance fora of which you are a member/attendee, robustly setting out areas of heightened risk in relation to the activities undertaken, and influence management to achieve resolution of concerns identified.
  • collaborate with the Quilter Risk Management Function and other Compliance teams to foster the sharing and implementation of best practice.
  • support the QC Chief Risk Officer to the discharge their duties as required.
  • develop and maintain a network of industry wide contacts to enhance industry level intelligence and benchmark activities.
  • champion an effective risk culture in QC including influencing the attitude to, and understanding of, risk across the business. A particular focus will be in relation to conduct risk culture, and the addressing of conduct risk concerns.
  • support the QC CRO in your capacity as a 2LOD member of team through participation in relevant forums and committees.
Consumer Duty

Whilst this isn't a directly customer facing role, the duties you will perform will contribute to the overall positive outcomes for our customers by

About You
  • Extensive knowledge and experience of UK financial planning market and regulatory context.
  • You will have a strong understanding of the financial advice sector, and challenges therein.
  • The ideal candidate will have a strong understanding of operating and championing a business partnering model in a compliance framework context along with experience and knowledge of best practice compliance methodologies and emerging practice.
  • Min - Level 4 Financial Planning Qualification - Pension Transfer Qualification and Relevant Mortgage qualification preferred or with willingness to work towards attaining these.
  • Compliance management experience gained within large scale, complex, financial services organisation(s).
  • A strong communicator that is able to build relationships and influence key stakeholders within the business.
#LI-VS1 #QC #QCFP

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.

Private Medical Insurance: Single cover as standard with options to increase cover to include your partner or children.

Life Assurance: 4x your salary.

Income Protection: 75% of salary, less state benefits, payable after 26 weeks of absence.

Healthcare Cash Plan: Jersey employees only

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.

  • Compliance Manager

    4 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    (12 month FTC role) THE COMPANY: Our client is an independent boutique asset management business based in the UK. Specialising in providing differentiated strategies to investors.THE RESPONSIBILITIES:Maintain a thorough knowledge of all legislative, technical (product) and regulatory changes and take steps to ensure that systems and controls are put in place...

  • Compliance Manager

    4 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: An international market maker specialising in FX and commodities that provides liquidity across a variety of exchanges and trading platforms is currently looking to expand their London based compliance team with a new Compliance Manager.THE RESPONSIBILITIES:The Compliance Manager will play a crucial role in ensuring adherence to regulatory...

  • Compliance Manager

    4 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    12 month FTC **EXCLUSIVE ROLE**THE COMPANY: Our client is a prestigious private wealth firm based in the West End. They are looking for a Compliance Manager to join the team on a 12-month FTC basis.THE RESPONSIBILITIES:Assist with ensuring that compliance related directives, policies & procedures remain up to dateAssist staff with interpretation of rules and...

  • Compliance Officer

    4 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international financial services company focusing on wholesale and corporate banking activities.THE RESPONSIBILITIES:To provide comprehensive advice on regulatory requirementsInterpret and communicate complex regulatory changeTo work closely with key stakeholders and ensure appropriate regulatory advice is providedWork closely...

  • Compliance Associate

    1 week ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working with an institutional commodities broker who are searching for a Compliance Associate to join the team. Centrally located in the city, the client are looking for a generalist compliance candidate to bring some expertise and knowledge to the team.THE RESPONSIBILITIES:Support ongoing annual compliance programme delivery: review of...

  • Compliance Officer

    1 week ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international investment bank based in the City. They are looking for a Compliance Officer with a specialization in Financial Crime to join the Business.THE RESPONSIBILITIES:Experience in US Swap Dealer businessCFTC rules and US Swap Dealer requirements & monitoring Implement and conduct market surveillance and communications...

  • Global Head of Compliance

    4 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a world-leading specialist broker based in the City. They are looking for a Global Head of Compliance, with demonstrated broking or prime broking experience.THE RESPONSIBILITIES:Management of global regulatory relationships.Advisory coverage of all business desks globally in conjunction with the local Compliance Officers.Oversight...

  • Head of Compliance

    4 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY:An exciting opportunity has arisen with a rapidly growing commodity broker based in the City. The position will oversee a small team and will be instrumental with developing the compliance culture as the business grows. RESPONSIBILITIES:To ensure the business is aware of the regulatory risks it faces and mitigates against themManage stakeholder...

  • Compliance Monitoring Analyst

    4 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY:.Our client is a leading trading firm going through an exciting period of growth and expansion. They are looking to hire a Compliance Monitoring Analyst on a permanent basis.THE RESPONSIBILITIES:Conducting second line compliance monitoring and testing to ensure that the firm is compliant with all applicable regulations, policies, and...

  • Compliance Officer, Marketing

    2 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global asset management firm, with 30-40 offices worldwide. They are looking for an Compliance Officer with a focus on Marketing & Distribution. THE RESPONSIBILITIES: Review and approve financial promotions, marketing materials, client reports, RFPs and other client communicationsProvide advice and guidance to client coverage,...

  • Compliance Manager

    1 month ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: We have been exclusively instructed by our client is a leading global commodities organisation. With a global presence they offer a wide range of services to their clients. The position will assist with managing a small team and will be 4 days in the office. THE RESPONSIBILITIES:Consideration of all relevant statutory and regulatory provisions...

  • Risk & Compliance Analyst

    2 months ago

    London,, UK, United Kingdom AJ FOX COMPLIANCE Full time

    We are working with a well-respected London law firm who are looking for a Risk and Compliance Analyst to join their team! This is a hybrid role with three days based in the office and two days working from home. This is a generalist role that involves supporting the Risk and Compliance Manager and the wider team to ensure compliance with relevant...

  • Trade Surveillance Manager

    4 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a leading securities firm based in the City. They are looking to hire a Trade Surveillance Manager for their team, it is essential that the candidate has people management experience. THE RESPONSIBILITIES:Managing the Surveillance function and working with the Trade Surveillance analysts to conduct trade surveillance and related...

  • Financial Crime Compliance Advisory

    2 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a successful banking firm with a strong global presence across wholesale and capital markets. THE RESPONSIBILITIES:Responding to enquiries from the business in a timely manner.Providing advice and guidance to the business and further areas of the firm To review and assess the appropriateness of financial crime related documentation...

  • Data Protection Manager

    1 week ago

    London,, UK, United Kingdom AJ FOX COMPLIANCE Full time

    We are working with a fantastic boutique city law firm assisting them to hire a Data Protection Manager. This role is a fantastic opportunity for somebody who has experience in data protection, risk and compliance and who would like to broaden their skill set.In this role, you will work alongside a small team consisting of a compliance assistant, a senior...

  • Compliance Manager

    2 months ago

    London,, UK, United Kingdom Artemis Talent Group Ltd Full time

    Compliance ManagerLocation: London Hybrid/Remote UKSalary: Up to £70,000Skills: Compliance Manager, Risk, AML, Financial Services, Compliance Specialist, CASS, FCA Regulations, FSMA2000, Mifid, Sanctions, Cross Boarder PaymentsFantastic opportunity has come available to work with my client who are leading London based Fintech software provider enabling...

  • Compliance Manager

    1 week ago

    London, UK, United Kingdom Selby Jennings Full time

    Position Available: Compliance Manager About Us: We are seeking a professional & resilient global Compliance Manager. Requirements: Experience: 6 years compliance experience, within a fund management environment. Knowledge: Strong of FCA handbook & proficiency in UK financial products, including UCITS & other regulated fund structures. Qualifications:...

  • Compliance Manager

    1 month ago

    London,, UK, United Kingdom DiverseJobsMatter Full time

    The teamYou will be part of Finance, Risk and Compliance team which is one of the key support services of our organisation. The team deals with all aspects of financial operations and supporting the business in risk and compliance matters, contract reviews and sustainable and value for money procurement, including compliance with public sector procurement.As...

  • Compliance Manager

    4 weeks ago

    London,, UK, United Kingdom William Rose Associates Full time

    William Rose Associates is currently partnering with an established Investment Bank firm based in London, which is looking for a Compliance Manager to join the team.ESSENTIAL SKILLS | Compliance Manager• At least 3-5 years of relevant experience within the industry.• Experience in audit or controls is beneficial.• Well-versed in regulations and...

  • Compliance Manager

    1 month ago

    London,, UK, United Kingdom HCLTech Full time

    Key tasks & responsibilities To manage the financial crime compliance requirements for HCLIBS and our client companies.To support the Head of Compliance and Financial Crime with financial crime relationship management to our clients’ counterpart functionsTo identify and review Financial Crime and Data/Information security related regulatory publications,...