Quilter

1 week ago

Compliance Analyst

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 6 hours agoStatus: Live

Job Summary

Conduct targeted and continuous assurance reviews to identify and report FCA and other regulatory breaches, supporting a strong compliance framework and fair customer outcomes. Produce meaningful MI reporting from surveillance and assurance activities, update compliance policies and procedures, and review/approve financial promotions. Manage the Compliance Inbox, review disclosures (Gifts & Entertainment, conflicts, personal account dealing), monitor market abuse/insider dealing suspicions, and escalate/log breaches. Serve as compliance SME in governance forums and advise stakeholders.

Location: London

Workplace: Hybrid

Employment Type: Full time · Permanent

Job Function: Legal, Risk & Compliance

Seniority: Mid level

Key Responsibilities

•Complete targeted and continuous assurance reviews to identify and report FCA and other regulatory breaches.
•Support meaningful MI reporting based on completed surveillance and continuous assurance activities.
•Update compliance policies and procedures to ensure alignment with relevant regulatory requirements.
•Review and approve financial promotions, including providing assurance assessments for promotions approved by the 1LOD.
•Manage the Compliance Inbox and review disclosures (Gifts & Entertainment, personal account dealing, conflicts of interest), escalating queries and tracking breaches/exceptions.

Pay and Benefits

Perks:Paid LeavePensionHealth InsuranceLife InsuranceIncome Protection

Key Requirements

•Knowledge and experience of UK financial services and the regulatory context.
•Knowledge and experience of financial planning and investment management (preferred).
•Attention to detail with the ability to recognise and resolve errors accurately.
•Ability to communicate clearly and build stakeholder relationships across the Risk Team and core business.
•Level 4 professional qualifications relevant to compliance (desirable), with willingness to study towards them.

Experience:Financial servicesWealth managementFinancial planning

Education:Certification / Diploma

Skills:Attention to detailCommunicationStakeholder managementIndependent workAdaptability

Company Brief

Quilter

Quilter plc is a UK-based wealth management and financial planning company offering investment management, retirement planning, and financial advice services to individual and intermediary clients across the UK and internationally.

Industry: Wealth Management

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Public Company

Valuation: Public Company (Market Cap in USD)

Funding: IPO / Publicly Listed

Headquarters: London, United Kingdom

Founded: 2018

Website

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Quilter

1 week ago

Compliance Analyst

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 6 hours agoStatus: Live

Job Summary

Location: London

Workplace: Hybrid

Employment Type: Full time · Permanent

Job Function: Legal, Risk & Compliance

Seniority: Mid level

Key Responsibilities

•Complete targeted and continuous assurance reviews to identify and report FCA and other regulatory breaches.
•Support meaningful MI reporting based on completed surveillance and continuous assurance activities.
•Update compliance policies and procedures to ensure alignment with relevant regulatory requirements.
•Review and approve financial promotions, including providing assurance assessments for promotions approved by the 1LOD.
•Manage the Compliance Inbox and review disclosures (Gifts & Entertainment, personal account dealing, conflicts of interest), escalating queries and tracking breaches/exceptions.

Pay and Benefits

Perks:Paid LeavePensionHealth InsuranceLife InsuranceIncome Protection

Key Requirements

•Knowledge and experience of UK financial services and the regulatory context.
•Knowledge and experience of financial planning and investment management (preferred).
•Attention to detail with the ability to recognise and resolve errors accurately.
•Ability to communicate clearly and build stakeholder relationships across the Risk Team and core business.
•Level 4 professional qualifications relevant to compliance (desirable), with willingness to study towards them.

Experience:Financial servicesWealth managementFinancial planning

Education:Certification / Diploma

Skills:Attention to detailCommunicationStakeholder managementIndependent workAdaptability

Company Brief

Quilter

Industry: Wealth Management

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Public Company

Valuation: Public Company (Market Cap in USD)

Funding: IPO / Publicly Listed

Headquarters: London, United Kingdom

Founded: 2018

Website