Compliance Manager – Framework & Policy
Location: London/Southampton (Permanent, Full-time). Seniority level: Mid-Senior level. Job function: Legal.
The Risk & Compliance function at Quilter is responsible for maintaining the Risk & Compliance Framework that supports the Quilter Group of Companies. This includes first-line compliance monitoring, the Data Guardian Office, and the Enterprise Risk Management team. In this role, you will lead the development and oversight of a robust Compliance Framework that defines Quilter’s compliance standards. This includes ensuring alignment with the FCA Handbook’s High-Level Standards, Prudential Standards, Regulatory Processes, and Specialist Sourcebooks. You will deliver compliance training and awareness initiatives, support the investigation and resolution of compliance issues, and ensure a centralised and consistent approach to the application and documentation of regulatory rules across the organisation. You will act as the central point of contact for all matters relating to regulatory permissions and authorisations for both firms and individuals.
Key Responsibilities
* Owner of a centralised Group Compliance framework based on the FCA Handbook, setting out the rules and context for each relevant Compliance Policy and/or Procedure, aligned to Quilter’s objectives and ethical standards.
* Provide advice and guidance relating to FCA High-Level Standards, Prudential Standards, and Regulatory processes, as outlined in the FCA Handbook.
* Create and maintain a centralised Compliance Manual detailing the regulatory framework within Quilter operates.
* Oversee the process for maintaining the FCA register for each Quilter legal entity, including guiding amendments and submission of applications.
* Develop and deliver training and awareness programmes for employees on regulatory awareness and framework application to promote a culture of compliance.
* Serve as the focal point for employees on matters related to the Group Compliance framework and support business change programmes with understanding of the framework.
* Work closely with Risk & Compliance colleagues to monitor and support the annual attestation of compliance with each policy.
* Collaborate with Risk & Compliance partners to ensure policies remain aligned to strategic and business objectives.
* Evaluate and opine on requests for waivers against Compliance Policies.
* Support the Head of Group Compliance as required and provide guidance where necessary.
About You
* Detailed and expert knowledge of the UK advice market and FCA Handbook, particularly High-Level Standards and Regulatory Processes.
* Experience in an FCA regulatory environment at management level, supporting advice businesses across distribution channels.
* Experience developing Compliance Frameworks and Policies with a pragmatic approach to regulation and business objectives.
* Strong communication skills with the ability to explain complex topics and produce clear written material.
* A compliance-related professional qualification.
* A financial advice qualification or equivalent experience is desirable but not essential.
Inclusion & Diversity
We value diversity and strive to promote inclusivity. We believe in equal opportunities for all, ensuring no applicant faces unfavourable treatment based on anything but skills, qualifications, experience and potential. We celebrate diverse contributions and foster a respectful, nurturing environment where colleagues can thrive.
Core Benefits
* Holiday: 182 hours (26 days)
* Quilter Incentive Scheme: Eligible for the incentive scheme based on performance
* Pension Scheme: Non-contributory company pension with potential for personal contributions
* Private Medical Insurance: Single cover with option to extend
* Life Assurance: 4x salary
* Income Protection: 75% of salary, after 26 weeks of absence
* Healthcare Cash Plan: Availability varies by location
* Flexible benefits to UK employees via salary deduction
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