Compliance Analyst

London, United Kingdom
23 Jul 2022
22 Aug 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
What the Hiring Manager Says

An exciting opportunity has become available to join an established Compliance Team at Quilter Cheviot, a longstanding investment management firm, reporting to the Compliance Manager and providing support to the business and senior members of the department.

We are seeking a candidate who has relevant experience in discretionary wealth management and compliance that wants the opportunity to grow.

Learning will be supported by the team with the opportunity to complete professional qualifications and take on additional responsibilities as your development increases. If you are comfortable working autonomously, expanding your knowledge of FCA regulation in the wealth management arena, and growing your role and responsibilities, this position may be for you.

Compliance Manager

About the Role
  • Complete surveillance and monitoring reviews as set out in the Compliance Programme at Quilter Cheviot, identifying and reporting on identified and potential breaches of FCA, and other relevant regulatory requirements
  • Produce relevant meaningful MI through completed surveillance and monitoring review for policy adherence and compliance framework assurance evidencing
  • Administer the firm's compliance related policies and procedures to ensure compliance with the relevant regulatory requirements
  • Review and approve financial promotions in accordance with the financial promotion regime
  • Manage the compliance inbox, advising the business as applicable and escalating queries where necessary
  • Review disclosures to compliance, including but not limited to Gifts & Entertainment, Personal Account Dealing and Conflicts of Interest, providing challenge where necessary
  • Review, monitor and report market abuse and insider dealing intelligences and suspicions escalating where appropriate including submissions to the relevant authority
  • Liaise with and provide ad-hoc compliance advice to new and emerging business initiatives on general products and services
  • Escalate, log, track and monitor all breaches and exceptions as appropriate
  • Provide general support to and assist the Chief Risk Officer and Compliance Managers as required

About You
  • 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.
  • To be successful in this role, you will ideally have the below, but full training will be provided so these are not essential.
  • Experience in compliance or a similar field
  • Compliance related professional qualifications
  • You must be able to work independently and effectively manage your own workload with a professional attitude. We are also looking for you to be able to demonstrate initiative and capability within the role, have strong analytical and problem-solving skills and be able to identify and implement improvements as part of your role.
  • You will be able to understand consequences of decisions and be able to follow instruction, acknowledge and learn from mistakes and be a vital resource for the wider team. Technical knowledge in compliance is preferred and excellent written communication is essential to the role.

Our purpose is to help the generations today and tomorrow to prosper. That means we must guide people through the complexity of planning for their future, with the right financial advice and investment solutions, so that they can have more secure financial futures.

In this ever-changing world, we see that our role in society has never been more meaningful, and we are committed to using our expertise and care to guide our customers through these challenging and unprecedented times.

Our impressive talents and capabilities set us apart, but our unwavering commitment to our customers is what defines us. We truly believe that we have all the ingredients to be the very best in our industry, and we want great people with the care and creativity that we need, to help us get there.

We are passionate about building an inclusive culture where everyone's contribution is valued, and our people can thrive. No matter what your role is or where you sit, your voice will matter. We hope you like what you hear and are interested in learning more about joining us.

Level: 3
Department: Risk and Compliance
Location: City of London, United Kingdom
Contract type: Permanent, Hybrid

This role's Talent Acquisition Business Partner is Ryan Killen #LI-RK1 #QC

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

Private Medical Insurance: Single cover as standard, cover can be increased at your own cost

Life Assurance: 4x your salary, cover can be increased at your own cost

Income Protection: 75% of salary payable after 26 weeks of absence

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.

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