Overview
Compliance Manager - Horizon Scanning and Regulatory Development
Quilter — Southampton, England, United Kingdom
About The Business
Quilter plc is a leading wealth management business, helping to enable brighter financial futures for every generation.
Quilter plc oversees £126.3 billion in customer investments (as of August 2025). 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 us!
About The Role
Level - 5
Department - Risk
Location - London/Southampton
Contract - Permanent
The Risk & Compliance function at Quilter is home to teams 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 ensure the Quilter Group remains proactive in identifying and implementing new regulatory and legal requirements. This is achieved through the analysis and oversight of external regulatory developments and publications. The role also involves leading engagement with internal stakeholders and external bodies, including trade associations, to help shape proposed regulatory changes and coordinate responses to consultation papers.
Key Responsibilities
* Conducting external market scanning; identifying information from consultation papers, discussion papers, decision papers, speeches and best practice publications, that are relevant to Quilter.
* Liaise with relevant stakeholders across the group, to identify areas impacted by regulatory developments, ensuring awareness, understanding and agreement of actions that need to take place.
* Design and oversight of the process for responding to key consultation papers, which are in the interest of Quilter to respond to.
* Preparing and presenting reports to stakeholders on the regulatory change agenda, together with assurance of the activities taking place across the group.
* Represent Quilter at relevant external regulatory change meetings being ‘the voice’ of Quilter.
* Assist in the review and update of compliance policies and procedures in line with regulatory changes.
* Support in developing and delivering training programs to ensure that employees are aware of regulatory requirements and changes. Promote a culture of compliance within the organisation.
* Support in the management of relationships with regulators and ensure timely and accurate responses to regulatory consultations.
* Support Risk and Compliance team, in SME capacity, to enable continued awareness for second line colleagues of the impact of regulatory changes.
About You
We are seeking a dedicated and experienced professional with a background in a similar role within financial services, a trade association, or a regulatory body. The ideal candidate will possess the following essential qualifications, skills, and behavioural competencies:
* Recognised professional qualification in Financial Services, Risk Management or Compliance (e.g., ICA Diploma in Governance, Risk and Compliance) or equivalent.
* Strong communication and stakeholder engagement skills, particularly in relation to senior management.
* Ability to produce clear and concise reports and documentation, ensuring complex information is accessible and understandable.
* Knowledge of and the ability to interpret compliance legislation.
* Ensures that tasks related to compliance are handled with thoroughness and accuracy, reflecting Quilter's commitment to excellence.
* Maintains expert-level technical knowledge through personal development, staying always curious and ahead of industry standards.
* Effectively balances priorities and demonstrates flexibility to adapt to rapidly changing business needs, embracing challenges and transforming potential into meaningful outcomes.
* Understands the consequences of decisions and helps others to understand, ensuring decisions align with Quilter's principles and regulatory obligations.
* Understands and applies current regulatory obligations and procedures to achieve compliance, including upholding TCF (Treating Customers Fairly) principles.
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.
Seniority level
* Mid-Senior level
Employment type
* Full-time
Job function
* Finance and Sales
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