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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in compliance monitoring and assurance within financial services, with a strong focus on regulatory requirements and risk management. Capable of leading thematic reviews, producing detailed documentation, and effectively communicating findings to stakeholders.
Highest-signal resume keywords
Compliance MonitoringRegulatory Requirements InterpretationRisk ManagementAnalytical SkillsStakeholder Communication
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance MonitoringThematic ReviewsTesting Programmes DesignBusiness Compliance AssessmentInvestment SurveillanceReview Documentation ProductionRisk Insights ReportingManagement Actions TrackingFCA Regulations UnderstandingFinancial Services Auditing
Soft Skills
Attention to DetailPlanning SkillsVerbal CommunicationWritten CommunicationInfluencing SkillsResilienceTeam Collaboration
Industry Keywords
Financial ServicesQuilter Compliance Monitoring FrameworkAffluent SegmentFirst Line of DefenceSecond Line of DefenceThird Line of DefenceGifts and Hospitality ComplianceComplaints OversightSurveillance ActivitiesMonitoring Plan
About the role
Key responsibilities & impact- Deliver compliance monitoring, surveillance and oversight activities across the Affluent segment and, where required, Quilter Cheviot
- Lead and execute thematic reviews
- Interpret regulatory requirements
- Design and perform testing programmes
- Assess business compliance
- Report findings and recommendations to stakeholders
- Own assigned reviews as Review Lead or supporting team member
- Perform periodic reviews and oversight across personal account dealing, gifts and hospitality, and complaints
- Conduct investment surveillance activities
- Support additional monitoring, surveillance and assurance activities
- Plan and prioritise workload against individual reviews and the wider monitoring plan
- Produce review documentation and reporting covering risks, insights and recommendations
- Track management actions through completion and escalate overdue actions
- Ensure adherence to the Quilter Compliance Monitoring Framework and contribute to its improvement
- Build and maintain relationships across the first, second and third lines of defence
Requirements
What you’ll need- Experience in compliance monitoring, assurance or auditing within financial services organisations, preferably in investments and financial advice
- Good understanding of risk and regulation, particularly FCA
- Strong attention to detail and ability to see the bigger picture
- Strong planning, analytical, verbal and written communication skills
- Ability to influence others
- High energy, drive and delivery focus
- Ability to work independently and within a team
- Resilience and perseverance to complete monitoring reviews on time and handle objections and challenging conversations
Benefits
Comp & perks- 182 hours holiday (26 days)
- Quilter Incentive Scheme
- Non-contributory company pension scheme, boostable through personal contributions
- Private Medical Insurance, with options to add 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)
- Flexible benefits for UK employees, payable via salary deduction