Compliance Analyst (Compliance Advisory) Compliance Analyst (Compliance Advisory) …

Quilter
in London, United Kingdom
Permanent, Full time
Last application, 02 Dec 20
Competitive
Quilter
in London, United Kingdom
Permanent, Full time
Last application, 02 Dec 20
Competitive
To provide second line advice, challenge and oversight to the investment management arm of Quilter plc; Quilter Investors.

About us

Quilter Investors is a multi-asset investment management business that specialises in building and managing portfolio solutions designed around the needs of advised clients in the UK and internationally. It was previously part of Old Mutual Global Investors, and formed when the business announced in 2017 that it would establish a dedicated multi asset function.

Quilter Investors is part of Quilter plc, a leading provider of advice, investments and wealth management both in the UK and internationally, managing over £118.7 billion of investments on behalf of over 900,000 customers (as at October 2019). Quilter plc, our group holding company, is listed on the London and Johannesburg stock exchanges.

About the role

Surveillance and monitoring
Provide trade surveillance and monitoring support including but not limited to market conduct, conduct risk and investment guidelines restrictions.

Financial promotion
Assist in the review of and advise on financial promotions and other marketing material as well as helping with the oversight.

Regulatory advice
Support in providing timely and accurate advice and on regulatory market changes affecting the business

Management information
Manage the production and maintenance of risk management information for internal and external reporting as required.

Training
Support regulatory training and development across the business.

Risk Management
Assist with the identification, management and escalation (as appropriate), of relevant risks.

Other responsibilities
Assist with any other regulatory oversight activities / projects as required.

About you

Regulatory knowledge
Practical knowledge of the UK regulatory environment mainly as it applies to investment management (specifically UCITS and AIFs)

Investment knowledge
Working knowledge of investment instruments (including derivatives) and investment strategies.

Other:
Able to prioritise, plan work activities and use time efficiently
Has an attention to detail and strong oral and written communication skills
Able to work collectively as a team
Possess the aptitude to build and maintain solid relationships

Qualifications required:
Degree qualified or equivalent

Benefits

No matter what job you do you should feel valued and appreciated. That's why we offer a competitive total reward package, which enables our employees to share in the success they help to create.

Core Benefits

Holiday: 26 days

Quilter Incentive Scheme: All employees are eligible to participate in our incentive scheme, based on the company's performance and their contribution to it

Pension Scheme: 10% non-contributory company pension scheme that can be boosted through personal contributions

Private Medical Insurance: Single cover as standard, cover can be increased at your own cost

Life Assurance: 4x your salary, cover can be increased at your own cost

Income Protection: 75% of salary payable after 26 weeks of absence

In addition to our core benefits we offer a range of flexible benefits that you can choose from and pay conveniently via a salary deduction.

Our promise

At Quilter, we're committed to creating an inclusive culture that embraces diversity. We promote equal opportunities and make sure no applicant receives less favourable treatment on the grounds of gender, marital status, nationality, ethnicity, age, sexual orientation, responsibilities for dependants, physical or mental disability. We select candidates for interview based purely on their skills, qualifications, experience and potential.

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