Affluent encompasses the financial planning business, Quilter Financial Planning, the Quilter Investment Platform and Quilter Investors, the multi-asset investment solutions business.
High Net Worth includes the discretionary fund management business, Quilter Cheviot, together with Quilter Cheviot Financial Planning – offering a highly personalised service to private clients, charities, trustees, and professional partners. Quilter Cheviot has presence throughout the UK, Ireland and Channel Islands.
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, including our colleagues.
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!About the Role
Level - 4
Department- Compliance
Location - London/ Southampton
Contract - Permanent
As a Compliance Manager your role within the second line function is the provision of generalist compliance advice and guidance on regulatory rule interpretation and application and supporting the Compliance team with the oversight and assurance of actions relating to Compliance Policies.
Key Responsibilities:
General Compliance technical specialist providing advice and guidance on FCA handbook modules with specific emphasis on High Level Standards, Regulatory Processes and Supervision.
Oversight of Personal Account Dealing records, conducting appropriate monitoring, to confirm adherence to Policy requirements.
Supporting the annual assessment of accuracy of information held on the FCA register and maintaining relevant records.
Oversight of the Gifts & Hospitality registers, conducting appropriate monitoring, to confirm adherence to Policy requirements.
Providing guidance on, and the monitoring of, the centralised Conflicts of Interest register, including monitoring of Other Business Interests.
Analysing and reporting of regulatory breach records, in line with Quilter Policy and Standards.
Supporting the business with the delivery of requirements specific to the Senior Managers Certification Regime.
Working closely with the regulatory liaison team, supporting regulatory reporting (internal and external)
Production of timely and accurate reports of Compliance related matters.
Developing and maintaining strong working relationships with stakeholders across first and second line. to ensure knowledge and understanding of the Compliance framework.
You are an experienced Compliance professional with a strong understanding of FCA regulation and a track record of providing pragmatic, risk-based advice within a UK regulated financial services environment. You are an excellent communicator, confident engaging with senior stakeholders, and thrive in a collaborative, fast-paced setting.
To be successful in this role, you will have:
Proven experience providing Compliance advice within an investment management, wealth management, or financial advice/distribution business.
Strong knowledge of FCA regulatory requirements and their practical application within a UK regulated firm.
Excellent stakeholder management and communication skills, with the ability to influence and challenge constructively at all levels, including senior management.
The ability to produce clear, concise, and effective reports, policies, and documentation, translating complex regulatory matters into practical guidance.
Strong operational and organisational skills, with experience leveraging technology and AI tools to enhance Compliance processes and efficiency.
Experience designing, implementing, and maintaining Compliance policies, frameworks, and procedures.
A proactive, solutions-focused approach, aligned with Quilter's values and committed to delivering high standards of governance and regulatory compliance
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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.
Skills Required
- Proven experience providing Compliance advice within investment management, wealth management, or financial advice/distribution business.
- Strong knowledge of FCA regulatory requirements and practical application within a UK regulated firm.
- Excellent stakeholder management and communication skills, with ability to influence senior management.
- Ability to produce clear, concise reports, policies, and documentation translating regulatory matters into practical guidance.
- Strong operational and organisational skills, with experience leveraging technology and AI tools to enhance Compliance processes and efficiency.
- Experience designing, implementing, and maintaining Compliance policies, frameworks, and procedures.
- Proactive, solutions-focused approach aligned with company values and high governance standards.
What We Do
As one of the UK’s leading wealth management companies, Quilter’s purpose is brighter financial futures for every generation. The businesses within our group aim to provide high quality products and services for the whole of your investment journey
