Compliance Manager, Finance & Banking

About the Business

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!

Level - 4

Department- Compliance

Location - London/ Southampton

Contract - Permanent

As a Compliance Manager your role within the second line function is the provision of generalist compliance advice and guidance on regulatory rule interpretation and application and supporting the Compliance team with the oversight and assurance of actions relating to Compliance Policies.

Key Responsibilities:

• General Compliance technical specialist providing advice and guidance on FCA handbook modules with specific emphasis on High Level Standards, Regulatory Processes and Supervision.
• Oversight of Personal Account Dealing records, conducting appropriate monitoring, to confirm adherence to Policy requirements.
• Supporting the annual assessment of accuracy of information held on the FCA register and maintaining relevant records.
• Oversight of the Gifts & Hospitality registers, conducting appropriate monitoring, to confirm adherence to Policy requirements.
• Providing guidance on, and the monitoring of, the centralised Conflicts of Interest register, including monitoring of Other Business Interests.
• Analysing and reporting of regulatory breach records, in line with Quilter Policy and Standards.
• Supporting the business with the delivery of requirements specific to the Senior Managers Certification Regime.
• Working closely with the regulatory liaison team, supporting regulatory reporting (internal and external)
• Production of timely and accurate reports of Compliance related matters.
• Developing and maintaining strong working relationships with stakeholders across first and second line. to ensure knowledge and understanding of the Compliance framework.

You are an experienced Compliance professional with a strong understanding of FCA regulation and a track record of providing pragmatic, risk-based advice within a UK regulated financial services environment. You are an excellent communicator, confident engaging with senior stakeholders, and thrive in a collaborative, fast-paced setting.

To be successful in this role, you will have:

• Proven experience providing Compliance advice within an investment management, wealth management, or financial advice/distribution business.
• Strong knowledge of FCA regulatory requirements and their practical application within a UK regulated firm.
• Excellent stakeholder management and communication skills, with the ability to influence and challenge constructively at all levels, including senior management.
• The ability to produce clear, concise, and effective reports, policies, and documentation, translating complex regulatory matters into practical guidance.
• Strong…