Compliance Manager

Overview

In this Compliance Manager role, you provide generalist compliance guidance on FCA handbook modules and support the second line in governance and assurance of policy actions. You will oversee personal account dealing and gifts & hospitality monitoring, and assist with SMCR requirements and regulatory reporting. You work closely with stakeholders across first and second line to ensure the compliance framework is understood and applied. This role sits in a fast-paced, collaborative environment focused on robust governance and risk management. You’ll help shape compliant, customer-centric processes at Quilter.

Pay / Benefits

• Holiday entitlement: 182 hours / 26 days
• Pension scheme
• Private medical insurance
• Life assurance: 4x salary
• Income protection: 75% of salary
• Flexible benefits

Responsibilities

• Provide generalist compliance advice on FCA handbook modules with emphasis on High Level Standards and Supervision.
• Oversee monitoring of Personal Account Dealing records for policy adherence.
• Support annual accuracy assessment of FCA register information and maintain related records.
• Oversee Gifts & Hospitality registers and monitor adherence to policy.
• Guide and monitor the centralised Conflicts of Interest register and Other Business Interests.
• Analyse and report regulatory breach records in line with policy.
• Support SMCR delivery requirements for the business.
• Collaborate with regulatory liaison team on reporting (internal and external).
• Produce timely, accurate reports on Compliance matters.
• Build and maintain relationships with stakeholders across first and second line to promote Compliance understanding.

Key requirements

• Proven experience providing Compliance advice in investment management, wealth management, or financial advice/distribution.
• Strong knowledge of FCA regulatory requirements and practical application in a UK regulated firm.
• Excellent stakeholder management and communication, with ability to influence at all levels.
• Ability to produce clear reports, policies, and documentation translating regulatory matters into practical guidance.
• Strong operational and organisational skills, with experience using technology/AI to enhance Compliance processes.
• Experience designing and maintaining Compliance policies, frameworks, and procedures.
• Proactive, solutions-focused approach aligned with Quilter’s governance and regulatory standards.

• stakeholder management
• clear communication
• collaboration
• FCA regulation
• regulatory reporting
• policy design and implementation

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