Compliance Analyst
Quilter plc is a leading wealth management business, which oversees £119.6 billion in customer investments (as at 31 March 2025). It has an adviser and customer offering spanning financial advice, investment platforms, multi-asset investment solutions and discretionary fund management.
If you want to play a part in shaping the future of our business, bringing new ideas and challenge then now is a great time to join us.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 and identifies issues. It also provides day‑to‑day guidance to employees maintaining a robust compliance framework that ensures fair customer outcomes and alignment with FCA expectations.
List the key responsibilities:
- Complete targeted and continuous assurance reviews as set out in the Compliance framework at Quilter Cheviot, identifying and reporting on identified and potential breaches of FCA, and other relevant regulatory requirements
- Support the production of relevant meaningful MI reporting through completed surveillance and continuous assurance activities.
- Support updates to firm’s compliance related policies and procedures to ensure compliance with the relevant regulatory requirements
- Review and approve financial promotions in accordance with the financial promotion regime
- Provide assurance assessments of Financial Promotions approved by the 1LOD.
- Manage the Compliance Inbox providing colleagues with compliance and procedural advice. as applicable and escalating queries where necessary
- Review disclosures to Compliance, including but not limited to Gifts & Entertainment, Personal Account Dealing and Conflicts of Interest, providing challenge where necessary
- Review, monitor and report market abuse and insider dealing intelligences and suspicions escalating where appropriate including submissions to the relevant authorities
- Liaise with and provide ad-hoc compliance advice to stakeholders.
- Escalate, log, track and monitor all breaches and exceptions as appropriate.
- Promote a strong Compliance culture with stakeholders.
- Attend working group or governance forum as the Compliance subject matter expert for allocated topics. For example, CASS, Dealing & Best Execution etc.
- Provide general support to and assist the Chief Risk Officer and Compliance Managers as required
- Knowledge and experience of financial planning and investment management preferred.
- Level 4 Professional qualifications relevant to compliance desirable but not essential – willingness to study towards this preferred
- Knowledge and experience of 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 across the broader Risk Team and core business function
- Flexibility to work independently and as part of a team and to adapt to changing business needs and priorities
- Demonstrates initiative and capability within the role and shows potential for future development
- Act professionally to build credibility and integrity within the business
- Ability to balance priorities to meet agreed deadline for individual and teamwork
#LI-VS1 #QC
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.