About this role
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 preparati