Compliance Manager - Compliance Monitoring & Thematic Reviews
Quilter plc
London, UK
Published 3 weeks ago
Business Compliance
Fixed Term Contract Duration - 5 Months
What the Hiring Manager says
At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one step ahead and make an even greater difference to the people and communities we serve.
Our business is transforming, continually modernising and becoming even more customer centric. So if you want to be bold in the pursuit of your ambitions, bring new ideas, and challenge and evolve what we do, it's the perfect time to join us!
This role will perform compliance monitoring and thematic review activity across the Affluent segment, leveraging support from other Risk teams where required, and providing services to the high net worth segment, Quilter Cheviot, as required.
About the Role
Level: Level 4
Department: Risk
Location: Southampton | London
Contract type: Fixed Term Contract | Secondment
Contract Duration: 6 months
You will be responsible for delivering compliance monitoring, surveillance and oversight activities assigned to you, including:
Applications from people with diverse backgrounds enables our inclusive organisation to thrive. If you feel you don't match our job description exactly, why not take a chance on yourself and apply? You could be exactly what this role needs.
You will have:
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.
#LI-VS1 #Quilter
Core Benefits
Holiday: 26 days
Quilter Incentive Scheme: All employees are eligible to participate in our incentive scheme, based on the company's performance and their contribution to it
Pension Scheme: 10% non-contributory company pension scheme that can be boosted through personal contributions
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 that you can choose from and pay for conveniently via a salary deduction.
What the Hiring Manager says
At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one step ahead and make an even greater difference to the people and communities we serve.
Our business is transforming, continually modernising and becoming even more customer centric. So if you want to be bold in the pursuit of your ambitions, bring new ideas, and challenge and evolve what we do, it's the perfect time to join us!
This role will perform compliance monitoring and thematic review activity across the Affluent segment, leveraging support from other Risk teams where required, and providing services to the high net worth segment, Quilter Cheviot, as required.
About the Role
Level: Level 4
Department: Risk
Location: Southampton | London
Contract type: Fixed Term Contract | Secondment
Contract Duration: 6 months
You will be responsible for delivering compliance monitoring, surveillance and oversight activities assigned to you, including:
- Undertaking rule based thematic monitoring reviews involving: interpretation of regulation; designing and executing testing to assess Quilter's compliance; reporting findings to the business.
- Taking full ownership of reviews where allocated as review leader, and fully supporting the review leader where assigned in a supporting role, ensuring all tasks associated with a review are completed to a high standard.
- Completing periodic reviews and oversight of areas such as PA dealing, G&H, complaints.
- Undertaking investment surveillance activities.
- Assisting the Head of Compliance Monitoring & Thematic Reviews with other surveillance and oversight activities as required.
- Planning and prioritising time to ensure the successful execution of individual activities and the overall plan;
- Ensuring focus on the quality of review documents and outputs, highlighting the 'so what' factor, and being clear how these add value for Quilter and address compliance risks;
- Tracking agreed review actions to completion and supporting risk owners to understand their actions commitments through regular engagement and/or communication, and escalating any risks of overdue actions ahead of time; and
- Ensuring alignment to the Quilter Compliance Monitoring Framework for consistent review delivery and identify opportunities for framework enhancement.
- Developing and maintaining strong working relationships with stakeholders across 1st, 2nd and 3rd lines of defence.
Applications from people with diverse backgrounds enables our inclusive organisation to thrive. If you feel you don't match our job description exactly, why not take a chance on yourself and apply? You could be exactly what this role needs.
You will have:
- experience of working in compliance monitoring, assurance or auditing gained within financial services organisations, preferably in investments and financial advice
- good understanding of risk and regulation, particularly FCA.
- strong attention to detail, and the ability to see the bigger picture.
- strong planning, analytical and communications (both verbal and written) skills are essential, along with the ability to influence others.
- high energy and drive and be delivery focused, and the ability to work well on your own or within a team.
- resilience and perseverance - key attributes needed to complete monitoring reviews on time and handle objections and challenging conversations.
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.
#LI-VS1 #Quilter
Core Benefits
Holiday: 26 days
Quilter Incentive Scheme: All employees are eligible to participate in our incentive scheme, based on the company's performance and their contribution to it
Pension Scheme: 10% non-contributory company pension scheme that can be boosted through personal contributions
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 that you can choose from and pay for conveniently via a salary deduction.