Quilter – Head of Risk and Compliance – CDO & D2C
Overview
Location: London/Southampton. Contract: Permanent. Level: 6. We’re seeking a strong leader to head our Risk & Compliance function, ensuring full adherence to regulatory and legislative requirements. This second line of defence role involves developing and managing risk-based frameworks, policies, and monitoring programmes, while promoting a culture of ethical conduct and risk awareness. You’ll oversee first line activities by independently identifying, analysing, monitoring, reporting, and escalating all risk types across Quilter’s business operations, ensuring compliance with external regulations and internal policies.
Key Responsibilities
* Leadership and Management: Lead the Risk & Compliance team by providing strategic direction, resources, and training, while promoting a high-performance culture through mentoring and coaching. Ensure the implementation of clear processes and systems under the Quilter Enterprise Risk Management Framework and encourage cross-collaboration and professional development.
* Strategic Oversight: Review business strategies, assess acquisition targets, oversee technology and change risks, and develop and report on risk plans to ensure effective risk management across Quilter. Contribute to the risk and compliance strategy and manage budgets efficiently.
* Risk Management: Develop and manage the second line of defence, addressing all existing and emerging risks including strategic, financial, operational, regulatory, and financial crime risks. Assist in developing the organisation\'s risk strategy and appetite framework, and design, implement, and refine a risk framework for identifying, monitoring, reporting, and escalating material risks. Conduct regular risk assessments, identify potential risks, assess their impact, and devise mitigation plans.
* Regulatory Compliance: Ensure adherence to all relevant laws, regulations, and internal policies. Stay up-to-date with regulatory changes, conduct compliance audits, and implement necessary policy updates. Advise the Board on compliance matters and assess the impact of legal changes.
* Policy Development: Create and maintain risk and compliance policies and procedures, ensuring alignment with the organisation\'s strategic goals and regulatory requirements. Regularly review and update policies.
* Monitoring and Reporting: Oversee the monitoring and reporting of compliance breaches and risk incidents. Provide regular risk and compliance reports to senior management, highlighting key risk indicators and making recommendations for improvement. Facilitate relevant risk committees and report on key risk and control exposures.
* Investigations: Oversee investigations into potential compliance breaches and risk incidents, ensuring thorough documentation and reporting of outcomes.
* Training and Awareness: Conduct training programmes for staff on risk management and compliance practices. Work with the Learning & Development team to design and deliver training on the risk management framework and promote a culture of compliance and risk awareness within the organisation.
* Stakeholder Engagement: Provide strategic advice and guidance to Executives and stakeholders regarding business strategies and opportunities. Liaise with regulatory bodies and other external stakeholders as required.
* Regulatory Relationships: Manage and develop key regulatory relationships, ensuring all relevant filings and notifications are submitted accurately and on time.
About You
The ideal candidate will have a solid background in risk management and compliance, strong communication skills, and a collaborative approach. Key qualifications, skills, and behavioural competencies are outlined below:
* Recognised professional qualification in risk management or compliance (e.g., ICA Diploma in Governance, Risk and Compliance) or equivalent.
* Extensive experience in risk management and compliance, with a strong understanding of relevant regulatory and legislative requirements.
* A minimum of 5 years’ experience in a senior risk management or compliance role within a regulated financial services firm. Prior Approved Person status is desirable but not essential.
* Proven leadership and management skills, with the ability to lead and develop a team effectively.
* Excellent analytical and risk assessment abilities, enabling the identification and mitigation of potential risks.
* 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.
* Proven experience in the design and implementation of risk management and compliance policies and procedures.
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.
Seniorities
* Executive
Employment type
* Full-time
Job function
* Finance and Sales
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