Compliance Manager – Compliance Monitoring & Thematic Reviews; FTC)

About the Business

Quilter plc is a leading wealth management business, helping to enable brighter financial futures for every generation.

Quilter oversees £157.4 billion in customer investments (as of August 2026). 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 :
Level 4

Department: Risk

Location :
Southampton | London

Contract type : 6 Month FTC

As a Compliance Monitoring Manager, you will play a key role in providing independent oversight and assurance across Quilter’s Affluent business. You will deliver compliance monitoring, thematic reviews, surveillance activities, and regulatory oversight to assess compliance with regulatory requirements and internal policies. Working closely with stakeholders across all three lines of defence, you will help identify compliance risks, drive improvements in controls, and support positive customer outcomes.

• Deliver compliance monitoring, surveillance, and oversight activities across the Affluent segment and, where required, Quilter Cheviot.
• Lead and execute thematic reviews, including:
  • Interpreting regulatory requirements.
  • Designing and performing testing programmes.
  • Assessing business compliance.
  • Reporting findings and recommendations to stakeholders.
• Take ownership of assigned reviews, either as Review Lead or as a supporting team member, ensuring delivery to a high standard and in line with agreed timelines.
• Perform periodic reviews and oversight activities across key risk areas, including personal account dealing, gifts and hospitality, and complaints.
• Conduct investment surveillance activities and contribute to broader compliance oversight initiatives.
• Support the Head of Compliance Monitoring & Thematic Reviews with additional monitoring, surveillance, and assurance activities as required.
• Plan and prioritise workload effectively to ensure successful delivery of individual reviews and the wider monitoring plan.
• Produce high-quality review documentation and reporting that clearly articulates key risks, insights, and value-added recommendations.
• Track management actions through to completion, engaging with risk owners to ensure timely delivery and escalating overdue actions where appropriate.
• Ensure adherence to the Quilter Compliance Monitoring Framework and contribute to its continuous improvement.
• Build and maintain strong working relationships with stakeholders across the first, second, and third lines of defence.

You will have:

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

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