Senior Compliance Manager – Compliance Monitoring

Job title:

Senior Compliance Manager – Compliance Monitoring

Company

Quilter

Job description

What the Hiring Manager SaysAt 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!This role will perform an important role leading and overseeing the development of Compliance Analysts in the Compliance Monitoring & Thematic Reviews Team. This role will take responsibility for the design and delivery of the continuous monitoring and surveillance activities which form part of our annual plan.About the RoleLevel: Level 5Department: RiskLocation: Southampton | LondonContract type: PermanentTo develop, manage and provide technical support to a team of Compliance Analysts in relation to continuous monitoring, surveillance and other compliance-related tasks including but not limited to conflicts of interest disclosures and higher risk advice suitability monitoring.Provide support and guidance on the scope and approach of continuous monitoring and, where necessary, take the lead on complex or challenging activitiesAssist the Head of Compliance Monitoring & Thematic Reviews with other surveillance and oversight activities as requiredEnsure focus on the quality of review documents and outputs, highlighting the ‘so what’ factor, and being clear how these add value for Quilter and address compliance risksEnsure alignment to the Quilter Compliance Monitoring Framework for consistent review delivery and identify opportunities for framework enhancementDevelop and maintain strong working relationships with stakeholders across 1st, 2nd and 3rd lines of defence.LeadershipUse in-depth knowledge and experience to train direct reports in compliance monitoring and thematic review activity, and to develop the Analysts in wider Compliance skillsProvide support and mentoring to other risk colleagues, sharing learnings and experience to assist with their professional development.Ensure alignment to the Quilter Compliance Monitoring Framework for consistent review delivery and identify opportunities for framework enhancementDevelop and maintain strong working relationships with stakeholders across 1st, 2nd and 3rd lines of defence.About YouApplications 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.You will have:experience in line management, and/or coaching or mentoring less experienced team membersexperience of working in compliance monitoring, assurance or auditing gained within financial services organisations, preferably in investments and financial advice (a level 4 or equivalent qualification in financial planning would be desirable)good understanding of risk and regulation, particularly FCAstrong attention to detail, and the ability to see the bigger picturestrong planning, analytical and communications (both verbal and written) skills are essential, along with the ability to influence othershigh energy and drive and be delivery focused, and the ability to work well on your own or within a teamresilience and perseverance – key attributes needed to complete monitoring reviews on time and handle objections and challenging conversations.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.#LI-VS1 #QuilterAlways 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 BenefitsHoliday: 26 daysQuilter Incentive Scheme: All employees are eligible to participate in our incentive scheme, based on the company’s performance and their contribution to itPension Scheme: 10% non-contributory company pension scheme that can be boosted through personal contributionsPrivate Medical Insurance: Single cover as standard, cover can be increased at your own costLife Assurance: 4x your salary, cover can be increased at your own costIncome Protection: 75% of salary payable after 26 weeks of absenceIn 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.

Expected salary

Location

London

Job date

Thu, 05 Sep 2024 05:26:52 GMT

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