Compliance Analyst - 12 month FTC
Quilter plc
London, UK
Published 6 days ago
Compliance Management Systems / Technology
Fixed Term Contract Duration - 11 Months
About the Business
Quilter Cheviot
Quilter Cheviot has been the wealth manager of choice for individuals and families for over 250 years, and today is one of the UK's largest wealth management firms offering expert discretionary investment management and financial advice through our sister company, Quilter Cheviot Financial Planning. We offer a highly personalised service to private clients, charities, trustees, and professional partners. Quilter Cheviot has presence throughout the UK, Ireland, and Channel Islands.
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 of March 2024).
If you want to play a part in shaping the future of our business, bringing new ideas and challenge then now is a great time to join us.
About the Role
Ensure Quilter Cheviot's compliance with relevant regulatory requirements through effective surveillance, monitoring, and advisory services.
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.
Healthcare Cash Plan: Jersey employees only.
Benefit Allowance: A cash benefit allowance is payable in lieu of some of our core benefits.
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.
About the Business
Quilter Cheviot
Quilter Cheviot has been the wealth manager of choice for individuals and families for over 250 years, and today is one of the UK's largest wealth management firms offering expert discretionary investment management and financial advice through our sister company, Quilter Cheviot Financial Planning. We offer a highly personalised service to private clients, charities, trustees, and professional partners. Quilter Cheviot has presence throughout the UK, Ireland, and Channel Islands.
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 of March 2024).
If you want to play a part in shaping the future of our business, bringing new ideas and challenge then now is a great time to join us.
About the Role
Ensure Quilter Cheviot's compliance with relevant regulatory requirements through effective surveillance, monitoring, and advisory services.
- Surveillance and Monitoring Reviews
- Conduct reviews as outlined in the Compliance Programme.
- Identify and report potential breaches of FCA and other regulatory requirements.
- Management Information (MI) Production
- Generate meaningful MI from surveillance and monitoring reviews.
- Provide evidence of policy adherence and compliance framework assurance.
- Policy and Procedure Administration
- Administer compliance-related policies and procedures ensuring alignment with relevant regulatory requirements.
- Financial Promotions Review
- Review and approve financial promotions, ensuring compliance with the financial promotion regime.
- Compliance Inbox Management
- Advise the business on compliance queries.
- Escalate queries as necessary.
- Disclosure Reviews
- Review disclosures related to Gifts & Entertainment, Personal Account Dealing, and Conflicts of Interest.
- Provide necessary challenges to ensure compliance.
- Market Abuse and Insider Dealing Monitoring
- Monitor and report suspicions of market abuse and insider dealing.
- Escalate and submit reports to relevant authorities as appropriate.
- Ad-Hoc Compliance Advice
- Provide compliance advice on new and emerging business initiatives.
- Support general product and service compliance.
- Breach and Exception Management
- Escalate, log, track, and monitor all breaches and exceptions.
- Assist the Chief Risk Officer and Compliance Managers as required.
- Handles tasks with thoroughness and accuracy, recognising and resolving errors.
- Communicates clearly and listens effectively. Written communication is concise, well-presented, and uses appropriate grammar, style, and language.
- Possesses technical knowledge relevant to the role, including familiarity with necessary computer systems, and keeps this knowledge up to date.
- Balances priorities effectively to meet agreed deadlines for both individual and team tasks. Demonstrates flexibility to adapt to changing business needs.
- Acts as a valuable resource to the team.
- Treats colleagues with professionalism and respect.
- Understands the consequences of decisions and follows instructions.
- Acknowledges and learns from mistakes.
- Develops basic industry knowledge and ensures individual work contributes to the company's success.
- Demonstrates initiative and capability within the role, showing potential for future development.
- Possesses good operational knowledge of interdepartmental processes.
- Commits to the values and goals of the company, demonstrating pride in Quilter Cheviot's brand.
- Develops credibility and integrity within the business.
- Assists the team in developing and maintaining appropriate internal and external business relationships, using suitable communication methods.
- Degree or equivalent qualification is desirable but not required.
- Professional qualification relevant to compliance is desirable.
- Compliance experience is preferred.
- Always maintains a professional attitude.
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.
Healthcare Cash Plan: Jersey employees only.
Benefit Allowance: A cash benefit allowance is payable in lieu of some of our core benefits.
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.