Compliance Manager

Quilter
London
Workplace: OnsiteFull timeFunction: Legal, Risk & ComplianceSkills: ["Communication","Stakeholder management","Risk-based advice","Collaboration","Report writing"]

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.

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FursaFursa
Quilter
Quilter
1 month ago

Compliance Manager

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Source: Company careers pageValidated by: Fursa AI
Last checked: 21 days 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