• Job Description

  Req#: R3082

  Summary

  This role will assist with compliance monitoring and thematic review activity across the Affluent segment, leveraging support from other Risk teams where required, and providing services to the high net worth segment, Quilter Cheviot, as required.
  
  Affluent Compliance Director

  About the Role

  Level: Level 3

  Department: Risk

  Location: Southampton | London

  Contract type: Secondment, 12 months

  Assisting with rule based thematic monitoring reviews including planning, testing and reporting phases, supporting the review leader, ensuring all tasks associated with a review are completed to a high standard.

  Assist with periodic reviews and oversight of areas such as PA dealing, G&H, complaints.

  Undertaking investment surveillance activities.

  Assisting the Head of Compliance Monitoring & Thematic Reviews with other surveillance and oversight activities as required including the review of key data to form a view of risks posed.

  Planning and prioritising time to ensure the successful execution of individual activities and the overall plan;

  Ensuring 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;

  Tracking agreed review actions to completion and escalating any risks of overdue actions ahead of time.

  About You

  Applications from people with diverse backgrounds enables our inclusive organisation to thrive. If you feel you don't match our job description exactly, why not take a chance on yourself and apply? You could be exactly what this role needs.

  You will have:

  Experience of working in financial services organisations, preferably in investments and financial advice.

  Some understanding of risk and regulation, particularly FCA would be desirable.

  strong attention to detail, and the ability to see the bigger picture.

  Planning, analytical and communications (both verbal and written) skills are essential.

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

  Our purpose is to help the generations today and tomorrow to prosper. That means we must guide people through the complexity of planning for their future, with the right financial advice and investment solutions, so that they can have more secure financial futures.

  In this ever-changing world, we see that our role in society has never been more meaningful, and we are committed to using our expertise and care to guide our customers through these challenging and unprecedented times.

  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.

• About the company

  Quilter plc, formerly known as Old Mutual Wealth Management Limited, is a British multinational wealth management company formed to take over the UK wealth management business of Old Mutual plc after its separation of business.

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