Quilter Careers Near Me – Compliance Administrator In Carlisle

Overview

Position Title: Compliance Administrator

Company: Quilter

Location: Carlisle, UK

Job Description

An exciting opportunity has become available to join an established Compliance Team within Quilter Cheviot, a growing wealth management business, supporting the senior members of the team.

Responsibilities:

• Complete surveillance and monitoring reviews as set out in the Compliance Programme at Quilter Cheviot, identifying and reporting on identified and potential breaches of FCA, and other relevant regulatory requirements
• Produce relevant meaningful MI through completed surveillance and monitoring review for policy adherence and compliance framework assurance evidencing
• Administer the firm’s compliance related policies and procedures to ensure compliance with the relevant regulatory requirements
• Review and approve financial promotions in accordance with the financial promotion regime
• Manage the compliance inbox, advising the business as applicable and escalating queries where necessary
• Review disclosures to compliance, including but not limited to Gifts & Entertainment, Personal Account Dealing and Conflicts of Interest, providing challenge where necessary
• Review, monitor and report market abuse and insider dealing intelligences and suspicions escalating where appropriate including submissions to the relevant authority
• Liaise with and provide ad-hoc compliance advice to new and emerging business initiatives on general products and services

Requirements:

• Experience in compliance or a similar field.
• Compliance related professional qualifications