Head of Compliance Advisory and Policy

About the Business

Quilter plc is a leading wealth management business, helping to enable brighter financial futures for every generation.

Quilter oversees £157.4 billion in customer investments (as of August 2026). 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 - 6

Department- Compliance

Location - London/ Southampton

Contract - Permanent

As Head of Compliance Advisory and Policy, you’ll play a key leadership role in shaping and delivering high-quality regulatory advice across Quilter. Alongside providing expert guidance on FCA and PRA (non-financial) regulatory requirements, you’ll lead a team of Regulatory Compliance specialists, ensuring the business receives timely, practical and accurate advice.

You’ll support Quilter’s strategic growth by helping the business navigate and pragmatically apply an evolving regulatory landscape. This is an exciting time to join, as changes in regulation create new opportunities to broaden consumer access to advice, products and services, alongside the evolving use of AI.

Key Responsibilities

Compliance Advisory & Oversight

• Leading FCA compliance oversight across Quilter Investments, strategic initiatives, Data and Technology developments, SMCR, Compliance Policies, Training and Awareness, and governance requirements.
• Providing expert advice on strategic change, new business initiatives, acquisitions, partnerships and transformation programmes.
• Supporting senior leaders to identify, understand and effectively manage regulatory risks and compliance obligations.
• Identifying and escalating material regulatory risks where appropriate.

Compliance Policy

• Owning and maintaining Group Compliance Policies, ensuring they remain aligned with regulatory requirements and industry best practice.
• Leading regular policy reviews and enhancements, with clear governance, approval and implementation.
• Developing practical guidance to help the business understand and embed compliance requirements effectively.

Investment Management, Funds & Assets Under Management

• Leading Compliance advisory support across investment, fund and asset management activities.
• Providing regulatory guidance on investment products, portfolio and discretionary management, and advisory services.
• Supporting product governance and providing advice on conduct risk, market abuse, conflicts of interest and customer outcomes.
• Interpreting regulatory requirements in relation to new business developments and strategic initiatives.

Technology & AI Governance

• Assessing the regulatory implications of emerging technologies, digital innovation and AI.
• Advising on evolving requirements relating to operational resilience, technology risk and third-party risk management.
• Providing Compliance expertise into AI frameworks, adoption strategies, governance committees and forums.

Regulatory Permissions & Change

• Owning the Group’s regulatory permissions framework, including applications, variations of permission and annual reviews.
• Advising on legal entity structures, regulated activities and regulatory perimeter risk.
• Providing regulatory support for acquisitions, disposals and business restructuring.

Regulatory Engagement

• Supporting Regulatory Liaison activity, including regulatory visits, reviews and thematic examinations.
• Representing the organisation through relevant industry working groups and regulatory forums.
• Engaging with regulators, professional bodies, Boards and Committees as required, providing insight and clarity on regulatory expectations.

Compliance Training & Awareness

• Leading Group Compliance Training, including mandatory and targeted learning programmes.
• Promoting a strong culture of compliance, ethical behaviour and good customer outcomes.
• Delivering executive-level briefings and targeted regulatory awareness where required.

Leadership & People

• Building and developing an engaged, capable and high-performing Compliance Advisory team.
• Creating a culture of accountability, continuous improvement and technical excellence.
• Investing in capability development and succession planning across the team.
• Building strong relationships across the business to ensure Compliance is a trusted and effective strategic partner.

About You

Essential

• 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 of 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.

Desirable

• Previous SMF or Approved Person experience.
• ICA Diploma or equivalent compliance qualification.
• Legal qualification or regulatory policy background.
• Experience working directly with regulators or industry bodies.

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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.