Compliance Officer 2 days a week (Compliance Advisory; Home Based)

London, UK
Closing date
23 Sep 2020

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Contract Type
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Compliance Advisory provides second line advice, challenge and oversight to the investment management arm of Quilter plc, called Quilter Investors (QI). We are currently a team of four permanent staff working from home, but we have several project commitments over the next six months and require assistance to cover activities while we support these.

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

Some of the key responsibilities of this role are to:
  • Monitor for, summarise and track applicable regulatory developments that impact QI via summary papers and liaison with the QI's change process, and provide advice to the business on regulatory change as well as working with colleagues in Quilter plc.
  • Produce management information to support Compliance Advisory's internal reporting in addition to responding to other data requests such as from the depositary or Section 793 - Companies Act queries.
  • Oversee Gabriel report submissions and assist with other regulatory oversight activities.
  • Be responsible for the review and advise on financial promotions including KIIDs and fact sheets, against FCA rules.
  • Provide trade surveillance support for possible market abuse.

Further key responsibilities can be found in the attached role profile.

About you

We are looking for an individual with the following knowledge, skills and experiences:
  • Practical knowledge of the UK regulatory environment, mainly UCITS/AIFM related, and how these requirements apply to fund management as well as associated products/services
  • Good knowledge of investment products and instruments including derivatives
  • Excellent interpersonal, communication (written and presentation) skills and organisational abilities, with an ability to liaise professionally and with diplomacy across all levels of staff in clear and succinct manner.
  • Ability to manage multiple requests for information and handle confidential and sensitive information in a professional manner in a fast-paced deadline driven environment.
  • Demonstrated ability to identify key issues and obtain appropriate information for further analysis.
  • Self-sufficient and requires minimal supervision in role while able to prioritise and deliver to tight timescales
  • A team player that actively looks to partner with and support team members with workloads and challenges.


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 (Fixed Term Contract)

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

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 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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