Compliance Analyst
Quilter plc
London, UK
Published 3 weeks ago
Compliance Management Systems / Technology
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: 4
Location: London
Department: Risk
Contract: Permanent
To undertake compliance surveillance and monitoring tasks and provide advice to the business on financial planning and discretionary investment management compliance matters to ensure Quilter Cheviot is compliant with the relevant regulatory requirements.
List the key responsibilities:
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
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.
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: 4
Location: London
Department: Risk
Contract: Permanent
To undertake compliance surveillance and monitoring tasks and provide advice to the business on financial planning and discretionary investment management compliance matters to ensure Quilter Cheviot is compliant with the relevant regulatory requirements.
List the key responsibilities:
- Complete surveillance and monitoring reviews as set out in the Compliance Programme at Quilter Cheviot, identifying and reporting on identified and potential breaches of FCA, and other relevant regulatory requirements
- Produce relevant meaningful MI through completed surveillance and monitoring review for policy adherence and compliance framework assurance evidencing
- Administer the firm's compliance related policies and procedures to ensure compliance with the relevant regulatory requirements
- Oversee financial promotions in accordance with the financial promotion regime
- Manage the Compliance Inbox advising the business as applicable and escalating queries where necessary
- Review disclosures to Compliance, including but not limited to Gifts & Entertainment, Personal Account Dealing and Conflicts of Interest, providing challenge where necessary
- Review, monitor and report market abuse and insider dealing intelligences and suspicions escalating where appropriate including submissions to the relevant authorities
- Liaise with and provide ad-hoc compliance advice to new and emerging business initiatives on general products and services including training where appropriate
- Escalate, log, track and monitor all breaches and exceptions as appropriate
- Work with the Quality Assurance and Business Assurance Teams to oversee suitability and advice standards are being adhered to and to carry out sample independent testing where required
- Provide general support to and assist the Chief Risk Officer and Compliance Managers as required
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
- Knowledge and experience of financial planning and investment management preferred.
- Level 4 Professional qualifications relevant to compliance desirable but not essential - willingness to study towards this preferred
- Knowledge and experience of UK financial services and regulatory context
- Attention to detail - handles tasks with thoroughness and accuracy, recognising and resolving errors
- Ability to communicate clearly, listen effectively and build stakeholder relationships across the broader Risk Team and core business functions
- Flexibility to work independently and as part of a team and to adapt to changing business needs and priorities
- Experience and knowledge of best practice compliance methodologies and emerging practice.
- Demonstrates initiative and capability within the role and shows potential for future development
- Act professionally to build credibility and integrity within the business
- Ability to balance priorities to meet agreed deadline for individual and teamwork
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.