Senior Regulatory Consultant Senior Regulatory Consultant …

à Londres, Angleterre, Royaume-Uni
CDI, Plein-temps
Dernière candidature, 14 août 20
à Londres, Angleterre, Royaume-Uni
CDI, Plein-temps
Dernière candidature, 14 août 20
The main purpose of our Senior Regulatory Consultant role is to ensure Quilter Financial Planning (QFP) maintains a thorough knowledge and understanding of the regulatory environment in which it operates, such that it remains within the boundaries of its regulatory permissions and licenses while being positioned to take advantage of the ‘opportunity risk’ that regulatory change and development may present.

The roleholder will act as a regulatory specialist within QFP’s 2nd line risk and compliance function and produce regulatory policy and other output tailored to the needs and requirements of the business. The provision of clear policy analysis and direction to the business on regulatory change and developments will be a key and critical deliverable.

About us

Quilter Financial Planning is part of Quilter, a leading provider of advice, investments and wealth management, with a portfolio over £118.7 billion of investments on behalf of over 900,000 customers worldwide (as at October 2019). Established in 2006, we've grown to become the UK's largest distributor of financial advice.  In fact, over 3,000 advisers have chosen us as the place to develop and grow their businesses.  Why, because we have the size, financial strength and people with the knowledge and expertise to help advisers achieve more.  You won't just find diverse, talented and friendly teams here either.  You'll also discover an inclusive culture and every opportunity for personal and professional development.

About the role

Some of the key responsibilities of this role are:

  • Conduct ‘horizon scanning’ in respect of the regulatory landscape, producing a periodic report for relevant internal stakeholders;
  • Provide advice and guidance to the Board, Executive, all relevant Committees and stakeholders regarding regulatory change and its impact in order to achieve compliance and maximise competitive advantage;
  • Develop and maintain the suite of policies required to meet regulatory requirements;
  • Contribute to and share responsibility for the regulatory training plan. Work with the Learning & Development team to design and deliver regulatory risk training material for the business and Advisers and to monitor compliance with compulsory training;
  • Provide PROD expertise to relevant projects and other activity.
  • Provides timely, effective and insightful MI and reporting on regulatory changes and themes, which makes an effective contribution to the assessment of QFP’s risk profile relative to risk appetite and enables oversight committees to discharge their duties with confidence;

About you

We are looking for an individual with the following skills, knowledge and experiences:

  • Significant experience in a senior role within regulatory compliance.
  • Strong knowledge and understanding of the UK regulatory framework and the FCA Handbook (particularly PROD)
  • In-depth understanding of the technicalities of regulatory risk, specifically horizon scanning and policy development.
  • Good experience of the regulatory environment within the UK of the wealth, life and/or asset management sectors.
  • File review experience in relation to pensions, investments, mortgage and protection.
  • Relevant professional qualifications for delivery of financial advice, at least to Diploma standard, across investments, pensions, protection and mortgages.
  • Degree level education or equivalent industry experience (supported by relevant industry qualifications, e.g. ICA Diploma in Compliance, Risk and Governance).


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 

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

Private Medical Insurance:  Single cover as standard, cover can be increased at your own cost

Life Assurance:  4x your salary, cover can be increased at your own cost

Income Protection:  75% of salary payable after 26 weeks of absence

In addition to our core benefits we offer a range of flexible benefits that you can choose from and pay for 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.