We are looking for someone to work for two days a week (days to be agreed but expected to be successive), who has experience in compliance advisory at a fund management house. The main purpose of this role is to undertake second line activity in the form of compliance advisory services.
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.