Quilter

3 days ago

Compliance Manager

✓ Verified Job

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

Source: Company careers pageValidated by: Fursa AI

Last checked: 23 hours agoStatus: Live

Job Summary

Provide second-line, generalist compliance advice on FCA regulation, interpreting and applying regulatory requirements to support the Compliance team’s oversight and assurance of policy-related actions. Own monitoring of personal account dealing, gifts & hospitality, and conflicts of interest registers, analyze regulatory breach records, and produce timely compliance reporting. Partner with the regulatory liaison team and support delivery of Senior Managers Certification Regime requirements.

Location: London

Workplace: Onsite

Employment Type: Full time · Permanent

Job Function: Legal, Risk & Compliance

Seniority: Manager level

Key Responsibilities

•Provide technical compliance advice and guidance on FCA handbook modules with emphasis on high level standards, regulatory processes, and supervision.
•Oversee personal account dealing records, conduct monitoring, and confirm adherence to policy requirements.
•Support annual assessment of accuracy of information held on the FCA register and maintain relevant records.
•Oversee gifts & hospitality and conflicts of interest registers, including monitoring other business interests.
•Analyze and report regulatory breach records and support Senior Managers Certification Regime requirements, producing timely compliance reports.

Pay and Benefits

Perks:HolidayPensionHealth InsuranceLife AssuranceIncome ProtectionCash Plan

Key Requirements

•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.
•Experience translating complex regulatory matters into clear, concise reports, policies, and documentation.
•Excellent stakeholder management and communication skills, including the ability to influence and challenge at senior levels.
•Experience designing, implementing, and maintaining compliance policies, frameworks, and procedures.

Experience:UK regulated financial servicesInvestment managementWealth managementFinancial adviceFinancial services compliance

Skills:CommunicationStakeholder managementRisk-based adviceCollaborationReport writing

Tech Stack:FCA handbookAI tools

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

3 days ago

Compliance Manager

✓ Verified Job

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

Source: Company careers pageValidated by: Fursa AI

Last checked: 23 hours agoStatus: Live

Job Summary

Location: London

Workplace: Onsite

Employment Type: Full time · Permanent

Job Function: Legal, Risk & Compliance

Seniority: Manager level

Key Responsibilities

•Provide technical compliance advice and guidance on FCA handbook modules with emphasis on high level standards, regulatory processes, and supervision.
•Oversee personal account dealing records, conduct monitoring, and confirm adherence to policy requirements.
•Support annual assessment of accuracy of information held on the FCA register and maintain relevant records.
•Oversee gifts & hospitality and conflicts of interest registers, including monitoring other business interests.
•Analyze and report regulatory breach records and support Senior Managers Certification Regime requirements, producing timely compliance reports.

Pay and Benefits

Perks:HolidayPensionHealth InsuranceLife AssuranceIncome ProtectionCash Plan

Key Requirements

•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.
•Experience translating complex regulatory matters into clear, concise reports, policies, and documentation.
•Excellent stakeholder management and communication skills, including the ability to influence and challenge at senior levels.
•Experience designing, implementing, and maintaining compliance policies, frameworks, and procedures.

Experience:UK regulated financial servicesInvestment managementWealth managementFinancial adviceFinancial services compliance

Skills:CommunicationStakeholder managementRisk-based adviceCollaborationReport writing

Tech Stack:FCA handbookAI tools

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