About the Business
Quilter Cheviot has been the wealth manager of choice for individuals and families for over 250 years and is one of the UK’s largest wealth management firms. We offer a highly personalised wealth management offering to private clients, charities, trustees and professional partners, with straightforward and complex financial needs. Our presence is throughout the UK, Ireland, Dubai and the Channel Islands. Quilter plc oversees £119.6billion in customer investments (as at 31March2025) and provides financial advice, investment platforms, multi‑asset solutions and discretionary fund management.
About the Role
Level: 3 • Department: Compliance • Location: London (Hybrid) • Contract: Permanent
The Compliance Analyst supports effective governance by delivering targeted and continuous assurance reviews and clear regulatory advice. The role monitors adherence to policies, identifies issues, and provides day‑to‑day guidance to employees, ensuring a robust compliance framework that delivers fair customer outcomes and aligns with FCA expectations.
Key Responsibilities
- Complete assurance reviews as set out in the Compliance framework, identifying and reporting on breaches of FCA and other regulatory requirements.
- Support the production of meaningful MI reporting through surveillance and assurance activities.
- Update the firm’s compliance policies and procedures to meet regulatory needs.
- Review and approve financial promotions in accordance with the regime; provide assurance assessments of promotions approved by the 1‑LOD.
- Manage the Compliance Inbox, providing advice and escalating queries where necessary.
- Review disclosures related to Gifts & Entertainment, Personal Account Dealing, and Conflicts of Interest, providing challenge where required.
- Monitor and report market abuse and insider dealing intelligence, escalating to authorities when appropriate.
- Liaise with stakeholders, providing ad‑hoc compliance advice.
- Escalate, log, track and monitor all breaches and exceptions.
- Promote a strong Compliance culture with stakeholders.
- Attend working groups or governance forums as the Compliance subject‑matter expert for allocated topics (e.g., CASS, Dealing, Best Execution).
- Provide general support to the Chief Risk Officer and Compliance Managers as required.
About You
- Knowledge and experience of financial planning and investment management preferred.
- Level 4 professional qualifications relevant to compliance desirable – willingness to study towards this preferred.
- Knowledge of the UK financial services and regulatory context.
- Attention to detail; handles tasks with thoroughness and accuracy, recognising and resolving errors.
- Ability to communicate clearly, listen effectively and build stakeholder relationships.
- Flexibility to work independently and as part of a team, adapting to changing business needs and priorities.
- Demonstrates initiative and capability within the role and shows potential for future development.
- Acts professionally to build credibility and integrity within the business.
- Balances priorities to meet agreed deadlines for individual and teamwork objectives.
Inclusion & Diversity
We value diversity, promote inclusivity and provide equal opportunities. No applicant will face less favourable treatment based on any characteristic beyond their skills, qualifications, experience and potential.
Values
Do the right thing – act with integrity and commitment to clients and communities.Always curious – continually seek new ideas and knowledge.Embrace challenge – aim high and transform potential into meaningful outcomes.Stronger together – collaborate, listen openly and support each other.
Core Benefits
- Holiday: 182hours (26days)
- Quilter Incentive Scheme – all employees are eligible.
- Pension Scheme – non‑contributory, booster via personal contributions.
- Private Medical Insurance – single cover with optional additions.
- Life Assurance – 4× salary.
- Income Protection – 75% salary (after 26weeks).
- Healthcare Cash Plan – for Jersey employees only.
- Effective flexible benefits available to UK employees via salary deduction.
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