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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates extensive expertise in UK financial services regulation, compliance oversight, and strategic regulatory advice, with a strong focus on investment management and operational resilience. Proven ability to lead compliance teams, manage regulatory risks, and develop policies in a dynamic regulatory environment.
Highest-signal resume keywords
Regulatory Compliance LeadershipUK Financial Services RegulationInvestment Management ComplianceStakeholder ManagementRegulatory Permissions Management
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Regulatory AdviceCompliance OversightPolicy DevelopmentOperational ResilienceTechnology GovernanceRegulatory EngagementConduct Risk ManagementMarket Abuse ComplianceThird-Party Risk ManagementRegulatory Consultation Response
Soft Skills
Stakeholder ManagementInfluencing SkillsWritten Communication
Tools & Technologies
Regulatory FrameworksGovernance FrameworksCompliance Training Tools
Certifications & Qualifications
ICA DiplomaLegal Qualification
Industry Keywords
FCA CompliancePRA ComplianceAsset ManagementFund ManagementFinancial Services Regulation
About the role
Key responsibilities & impact- Lead and deliver high-quality regulatory advice across Quilter
- Provide expert guidance on FCA and PRA non-financial regulatory requirements
- Lead a team of Regulatory Compliance specialists
- Lead FCA compliance oversight across investments, strategic initiatives, data and technology developments, SMCR, compliance policies, training and awareness, and governance
- Advise on strategic change, new business initiatives, acquisitions, partnerships and transformation programmes
- Support senior leaders in identifying and managing regulatory risks and compliance obligations
- Own and maintain Group Compliance Policies and lead policy reviews and enhancements
- Lead compliance advisory support across investment, fund and asset management activities
- Advise on investment products, portfolio and discretionary management, advisory services, conduct risk, market abuse, conflicts of interest and customer outcomes
- Assess regulatory implications of emerging technologies, digital innovation and AI
- Advise on operational resilience, technology risk and third-party risk management
- Own the Group regulatory permissions framework and support applications, variations and annual reviews
- Support regulatory visits, reviews, thematic examinations, industry working groups and regulatory forums
- Lead Group Compliance Training and executive-level regulatory briefings
- Build and develop a high-performing Compliance Advisory team and succession planning
Requirements
What you’ll need- Significant senior Compliance experience within a regulated financial services organisation
- Deep knowledge of UK financial services regulation and governance frameworks
- Strong understanding of investment management, asset management and fund management regulatory requirements
- Experience providing strategic regulatory advice to senior executives and Boards
- Experience leading regulatory change and policy development programmes
- Strong understanding of information security, operational resilience, technology governance and AI-related regulatory requirements
- Experience managing regulatory permissions and regulatory engagement activities
- Demonstrable experience responding to regulatory consultations and policy papers
- Exceptional stakeholder management and influencing skills
- Strong written communication skills, including preparation of Board papers and Executive briefings
- ICA Diploma or equivalent compliance qualification (desirable)
- Legal qualification or regulatory policy background (desirable)
- Previous SMF or Approved Person experience (desirable)
- Experience working directly with regulators or industry bodies (desirable)
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 include 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