Senior Compliance Manager - Compliance Monitoring

About the Business
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Quilter plc is a leading provider of financial advice, investments and wealth management, committed to being the UK’s best wealth manager for clients and their advisers. Quilter oversees £141\.2 billion in customer investments (as of 31 December 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 – offering a highly personalised service to private clients, charities, trustees, and professional partners. Quilter Cheviot has presence throughout the UK, Ireland and Channel Islands.

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, including our colleagues.

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
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Level \- 5Department\- Compliance

Location \- London

Contract \- Permanent

You will take the lead on delivering compliance monitoring reviews. In addition you will take responsibility for coaching and supporting other members of the team and overseeing the quality of their output.

Key responsibilities:

• Undertaking rule based thematic monitoring reviews involving: interpretation of regulation; designing and executing testing to assess Quilter’s compliance with regulatory expectations; and reporting findings to the business.


• Provide support and guidance on the scope and approach of compliance monitoring to others in the team and, where necessary, take the lead on complex or challenging activities


• Ensure 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 risks


• Ensure alignment to the Quilter Compliance Monitoring Framework for consistent review


• Develop and maintain strong working relationships with stakeholders across 1st, 2nd and 3rd lines of defence.

• Provide support and mentoring to other risk colleagues, sharing learnings and experience to assist with their professional development.


• Identify opportunities for monitoring framework and process enhancement


• Assisting the Head of Compliance Monitoring \& Thematic Reviews with other team activities as required.

The successful candidate:

• Experience in line management, and/or coaching or mentoring less experienced team members


• Experience of working in compliance monitoring, assurance or auditing gained within financial services organisations, preferably in investments


• Good understanding of risk and regulation, particularly FCA


• Strong attention to detail, and the ability to see the bigger picture


• Strong planning, analytical and communications (both verbal and written) skills are essential, along with the ability to influence others


• High energy and drive and be delivery focused, and the ability to work well on your own or within a team


• Resilience and perseverance \- key attributes needed to complete monitoring reviews on time and handle objections and challenging conversations.

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.

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