Compliance Analyst - 6 month FTC

Quilter plc • TRAFFIC • London, Not Specified, United Kingdom • 5h ago

Compliance Analyst - 6 month FTC page is loaded Compliance Analyst - 6 month FTC Apply locations London time type Full time posted on Posted 2 Days Ago time left to apply End Date: October 31, 2025 (30+ days left to apply) job requisition id R4778 Fixed Term Contract Duration - 5 Months About the Business Quilter Cheviot
Quilter Cheviot has been the wealth manager of choice for individuals and families for over 250 years, and today is one of the UK's largest wealth management firms offering expert discretionary investment management and financial advice through our sister company, Quilter Cheviot Financial Planning. We offer a highly personalised service to private clients, charities, trustees, and professional partners. Quilter Cheviot has presence throughout the UK, Ireland, and Channel Islands.
We are part of Quilter plc, a leading provider of advice, investment platforms, multi-asset investment solutions and discretionary fund management which is listed on the London and Johannesburg stock exchanges and manages over £111.6 billion of client investments (as of March 2024).
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: FTC 6 Months

Ensure Quilter Cheviot's compliance with relevant regulatory requirements through effective surveillance, monitoring, and advisory services.

Surveillance and Monitoring Reviews
Conduct reviews as outlined in the Compliance Programme.
Identify and report potential breaches of FCA and other regulatory requirements.
Management Information (MI) Production
Generate meaningful MI from surveillance and monitoring reviews.
Provide evidence of policy adherence and compliance framework assurance.
Policy and Procedure Administration
Administer compliance-related policies and procedures ensuring alignment with relevant regulatory requirements.
Financial Promotions Review
Review and approve financial promotions, ensuring compliance with the financial promotion regime.
Compliance Inbox Management
Advise the business on compliance queries.
Escalate queries as necessary.
Disclosure Reviews
Review disclosures related to Gifts & Entertainment, Personal Account Dealing, and Conflicts of Interest.
Provide necessary challenges to ensure compliance.
Market Abuse and Insider Dealing Monitoring
Monitor and report suspicions of market abuse and insider dealing.
Escalate and submit reports to relevant authorities as appropriate.
Ad-Hoc Compliance Advice
Provide compliance advice on new and emerging business initiatives.
Support general product and service compliance.
Breach and Exception Management
Escalate, log, track, and monitor all breaches and exceptions.
Assist the Chief Risk Officer and Compliance Managers as required.

About You

Handles tasks with thoroughness and accuracy, recognising and resolving errors.
Communicates clearly and listens effectively. Written communication is concise, well-presented, and uses appropriate grammar, style, and language.
Possesses technical knowledge relevant to the role, including familiarity with necessary computer systems, and keeps this knowledge up to date.
Balances priorities effectively to meet agreed deadlines for both individual and team tasks. Demonstrates flexibility to adapt to changing business needs.
Acts as a valuable resource to the team.
Treats colleagues with professionalism and respect.
Understands the consequences of decisions and follows instructions.
Acknowledges and learns from mistakes.
Develops basic industry knowledge and ensures individual work contributes to the company's success.
Demonstrates initiative and capability within the role, showing potential for future development.
Possesses good operational knowledge of interdepartmental processes.
Commits to the values and goals of the company, demonstrating pride in Quilter Cheviot's brand.
Develops credibility and integrity within the business.
Assists the team in developing and maintaining appropriate internal and external business relationships, using suitable communication methods.
Degree or equivalent qualification is desirable but not required.
Professional qualification relevant to compliance is desirable.

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.

Healthcare Cash Plan: Jersey employees only.

Benefit Allowance: A cash benefit allowance is payable in lieu of some of our core benefits.

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.

About Us

We create brighter financial futures for every generation.

We do this by guiding our customers and their families through the complexity of planning for their financial future, responding to their rapidly evolving needs and giving them peace of mind. And, with all that's happening in the world today, our role in society has never been more meaningful.

Our impressive talents and capabilities set us apart, but our unwavering commitment to our customers is what defines us. We truly believe that we have all the ingredients to be the very best in our industry, and we want great people with the care and creativity that we need, to help us get there.

We are passionate about building an inclusive culture where everyone's contribution is valued, and our people can thrive. No matter what your role is or where you sit, your voice will matter. We hope you like what you hear and are interested in learning more about joining us.

Flexible Working

We believe our workplace needs to work for you, so we offer an environment where you can balance a successful career with your commitments and interests outside of work. Some roles lend themselves to flexible options more than others, so our talent acquisition team are on hand to discuss your needs. Please contact us to learn more.

Our promise to you

We are committed to treating all our job applicants fairly and with respect. Our people come from all kinds of backgrounds and have a wide range of expertise, so we welcome your application regardless of your beliefs, culture, gender identity, ethnicity, sexual orientation and or disability. Please contact the talent acquisition team if you need any reasonable adjustments made to the recruitment process, require information in an alternative format or have any questions around accessibility, we will try our very best to accommodate.

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