Senior Compliance Manager - CDO & D2C

# About the Business Quilter plc is a leading wealth management business, helping to enable brighter financial futures for every generation. Quilter oversees £126.3 billion in customer investments (as of August 2025). It has an adviser and customer offering spanning financial advice, investment platforms, multi-asset investment solutions, and discretionary fund management. The business is comprised of two segments: Affluent and High Net Worth. Affluent encompasses the financial planning business, Quilter Financial Planning, the Quilter Investment Platform and Quilter Investors, the multi-asset investment solutions business. High Net Worth includes the discretionary fund management business, Quilter Cheviot, together with Quilter Cheviot Financial Planning - offering a highly personalised service to private clients, charities, trustees, and professional partners. Quilter Cheviot has presence throughout the UK, Ireland and Channel Islands. At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one step ahead and make an even greater difference to the people and communities we serve, including our colleagues. Our business is transforming, continually modernising, and becoming even more customer centric. So, if you want to be bold in the pursuit of your ambitions, bring new ideas, and challenge and evolve what we do, it's the perfect time to join us!# About the Role Level - 5 Department- Risk Location - London/Southampton Contract - PermanentKey responsibilities Gain an in-depth understanding of key objectives of the distribution activities within the Affluent business and provide robust and independent guidance and advice in response to Compliance requirements and queries. Provide analysis of the regulatory requirements impacting distribution current policies, processes and procedures operated within the business, in order to support the business in their continued assessment of the appropriateness of policies and supporting material. Responsible for producing written updates on the key regulatory matters that impact your business area. Attending formal governance meetings across Distribution and providing regulatory updates and Compliance oversight. Become the Quilter 2nd line SME in respect of the financial planning and advice Compliance requirements. Support the formal production of the Compliance Officer's report. Supporting the Head of Compliance Advice with regulator supervisory visits, thematic reviews, information requests and notifications. Support relevant regulatory focussed projects, as and when required. • Support the creation and delivery of compliance training for the Affluent business. Supporting the Head of Compliance, CRO and wider function in ensuring the embeddedness of the risk management framework. Support the attestation of compliance with Group policies and standards owned by 2nd line Compliance. Use in-depth knowledge and experience to support colleagues, promoting a climate of continuous improvement and ensuring best practice is applied across the function. Provide support and mentoring to other risk colleagues, sharing learnings and experience to assist with their professional development.# About You The successful candidate: Demonstrable Compliance management experience gained within large scale, complex, financial services organisation(s). Significant knowledge and experience of UK financial services and regulatory context. Detailed and thorough understanding of the advice process (across investments, pensions, mortgage and protection, equity release, long term care, etc. advice), and experience in providing compliance advice in this respect. A compliance professional qualification(s), and financial advice qualifications. 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. 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.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.