Senior Compliance Manager – Compliance Advice
Locations: London, England (Home Workers), Southampton
Time Type: Full time
Posted On: 2 Days Ago
Time Left to Apply: End Date: November 8, 2024 (6 days left to apply)
Job Requisition ID: R3970
About the Business
Quilter plc is a leading provider of financial advice, investments and wealth management, committed to being the UK’s best wealth manager for clients and their advisers. Quilter oversees £111.6 billion in customer investments (as at 31 March 2024). It has an adviser and customer offering spanning financial advice, investment platforms, multi-asset investment solutions, and discretionary fund management.
About the Role
Level: 5
Department: Risk
Location: Southampton, United Kingdom or London, United Kingdom (we will also consider fully remote)
Contract Type: Permanent
Non-Regulated
* Gain an in-depth understanding of key objectives of the distribution activities within the Affluent business and provide robust and independent guidance and advice in response to Compliance requirements and queries.
* Provide analysis of the regulatory requirements impacting distribution current policies, processes and procedures operated within the business.
* Responsible for producing written updates on the key regulatory matters that impact your business area.
* Attending formal governance meetings across Distribution and providing regulatory updates and Compliance oversight.
* Become the Quilter 2nd line SME in respect of the financial planning and advice Compliance requirements.
* Support the formal production of the Compliance Officer’s report.
* Supporting the Head of Compliance Advice with regulator supervisory visits, thematic reviews, information requests and notifications.
* Support relevant regulatory focused projects, as and when required.
* Support the creation and delivery of compliance training for the Affluent business.
* Supporting the Head of Compliance, CRO and wider function in ensuring the embeddedness of the risk management framework.
* Support the attestation of compliance with Group policies and standards owned by 2nd line Compliance.
Leadership
* Uses in-depth knowledge and experience to support colleagues, promoting a climate of continuous improvement and ensuring best practice is applied across the function.
* Provide support and mentoring to other risk colleagues, sharing learnings and experience to assist with their professional development.
Consumer Duty
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 providing advice and guidance to the business in relation to the treatment of customers and the outcomes achieved for them.
About You
* Demonstrable Compliance management experience gained within large scale, complex, financial services organisation(s).
* Significant knowledge and experience of UK financial services and regulatory context.
* Detailed and thorough understanding of the advice process (across investments, pensions, mortgage and protection, equity release, long term care, etc. advice), and experience in providing compliance advice in this respect.
* A compliance professional qualification(s), and financial advice qualifications.
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.
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.
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