Head of Compliance Monitoring

About the BusinessQuilter plc is a leading wealth management business, helping to enable brighter financial futures for every generation.

Quilter oversees £126.3 billion in customer investments (as of August It has an adviser and customer offering spanning financial advice, investment platforms, multi-asset investment solutions, and discretionary fund management. The business is comprised of two segments: Affluent and High Net Worth.

Affluent encompasses the financial planning business, Quilter Financial Planning, the Quilter Investment Platform and Quilter Investors, the multi-asset investment solutions business.

High Net Worth includes the discretionary fund management business, Quilter Cheviot, together with Quilter Cheviot Financial Planning.

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 usAbout the Role

Level - 4

Department- Compliance

Location - London/Southampton

Contract - Permanent

This role will lead 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 business as relevant.

• Deploy a variety of monitoring and thematic review techniques, including but not limited to thematic reviews, control assessments, desk top monitoring and deep dives, to deliver rule and risk-based, efficient and effective monitoring approach pan Quilter.

• Develop and maintain understanding of the business, risks, and control environment to assist with prioritising team activities and contributing to the wider Quilter Risk Annual Plan.

• Ensure effective use of resources and activities to maximise the levels of assurance achieved.

• Deliver continuous monitoring activities in respect of conflicts of interest, gifts and entertainment, share dealing and breach management.

• Oversee firm and adviser non-financial crime investigations.

• Take responsibility for the development, maintenance and effectiveness of a consistent Quilter plc compliance monitoring, surveillance and oversight framework (comprising a standardised methodology and procedures, supporting tools, tracking and reporting mechanisms) to ensure consistency of approach, and quality of team activity and outputs.

• Use networks and liaison with industry bodies to ensure Quilter plc continues to operate an independent, effective and efficient risk-based approach to regulatory assurance activities.

• Develop and maintain an effective reporting framework for assurance findings and communications to key stakeholders, including the reporting of regulatory risks and escalation of relevant issues.

• Work with stakeholders to develop appropriate solutions to control weaknesses identified, which ensure good customer outcomes, driving forward actions from reviews to achieve timely closure and to mitigate against delays and extended risk.

• Undertake periodic analysis and review of Compliance Monitoring findings, to determine trends, root causes and potential customer impacts, taking action where this is identified.

Risk Leadership

• Be an effective leader within the Risk team and be a credible deputy to the Compliance Director as required, fostering positive relationships between all lines of defence.

• Support the Quilter CRO and Compliance Director to deliver elements of the Group Risk strategic agenda.

• Lead and develop their team to provide an effective, commercially focused and valued service to Quilter, recognised for delivering high quality technical input which conforms to professional standards.

• Engages as required with key regulators, industry/professional bodies, relevant Boards and Committees, providing insights, setting and managing expectations regarding services and ensuring a clear understanding of requirements.

• Motivates and develops individuals through mentoring, coaching and ongoing dialogue in order to promote a high-performance culture. Identifies and nurtures talent to ensure appropriate succession planning within the team, creating an internal pipeline of high potential employees to ensure the delivery of business goals and continuity. 

• Uses in-depth knowledge and experience to support colleagues, promoting a climate of continuous improvement and ensuring best practice is applied across the function.

About You

You will have:

• At least 10 years' experience working in Financial Services, ideally within a Wealth Management, Funds Management or Insurance Company.

• Excellent attention to detail.

• Strong communication and interpersonal skills, with the ability to effectively communicate and influence at all levels, in particular with senior management.

• Experience in a project methodology.

• Developed knowledge of Compliance/Regulatory/Legislative, Risk and Governance requirements and resulting processes.

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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.

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