Regulatory Compliance Specialist

Purpose of the Job

Our parent company, Quintet Private Bank, is a leading private bank in the wealth management sector; we are committed to our clients and their families, and pride ourselves on our personalised service based on a deep understanding of what clients want to achieve. Compared to others, we are small (<1,800 employees across 30 European and UK locations) with an ambition to stay true to our purpose to be the most trusted fiduciary of family wealth.

The principal duty of the Regulatory Compliance Specialist (Director) is supporting the Brown Shipley, Head of Compliance, in ensuring that the team delivers high quality compliance advice to colleagues across the UK in the areas of: Conduct of Business, Investor Protection, Market Abuse, and Cross-Border regulations. The role holder hierarchically reports to Brown Shipley's Head of Compliance, and has a functional reporting line to Quintet’s Head of Group Regulatory Compliance & Cross Border, thus working closely with other EU and UK RC advisors to ensure the successful delivery of the Compliance function’ strategy.

The succesesful candidate will contribute to regulatory interactions, support the effective management of compliance risk, and provide clear, pragmatic guidance to the business. You’ll also play a role in identifying, assessing and managing regulatory risk, ensuring it is appropriately governed and aligned to the firm’s risk appetite.

This is a hands on role for an experienced compliance professional who is comfortable operating across both advisory and regulatory engagement, and who can partner with the business to deliver the right outcomes for clients while maintaining strong regulatory standards.

Key Accountabilities

• Culture: The role holder must carry out all duties in strict accordance with Quintet’s Code of Conduct and act as its ambassador at all times. As any other member of the Compliance function, the role holder will foster a positive culture of compliance across Brown Shipley and Quintet.


• Risk stewardship: Oversight, management & governance of RCC risk to ensure that risk is identified, assessed, mitigated, monitored, and managed in alignment with the Risk Appetite and Management Framework; taking into account regulatory requirements, ethical & departmental standards. To act as a trusted advisor to all LoD, process, control and risk owners on appropriate steps and approaches to be taken to ensure risks are  effectively controlled and managed


• Policies: Drafting and reviewing Quintet’s RCC policies and procedures to ensure they remain aligned to the Brown Shipley and UK regulators’ expectations and best industry practice.


• Regulatory change: Supporting the business with the implementation of new relevant initiatives from the local regulator and other UK regulators, by providing technical regulatory support


• Governance: Assisting Brown Shipley's Head of Compliance as well as RCC Head of Compliance in the production of technical analyses and reports related to regulatory risk for escalation to the relevant supervisory and
  governance bodies.


• Cross-Functional Collaboration: Partner with other teams within the Compliance Function (Monitoring, Business Management, FCC, Business Management) to achieve Compliance's function strategic objectives.

Knowledge and Experience

Good working knowledge of the Brown Shipley and UK regulatory environment in the RCC topics as listed above. 
Ability to interpret rules and regulation and communicate the requirements clearly and effectively to a diverse range of stakeholders.
Experience of drawing up and maintaining policies on regulatory requirements
Proven relevant experience in an Tier 1 private bank/ wealth or asset manager/ regulator/ legal or professional services firm.
Excellent written, verbal, numeric and comprehension skills and IT proficient

Attributes and Qualities

Strong Communication (Verbal & Written)
Critical Thinking & Problem Solving
Time Management
Excellent written, verbal, numeric and comprehension skills and IT proficient.
Results Orientation
Collaborative teamwork 

Technical Skills

Extensive experience in a similar role
Higher Education (University / Bachelor)
MS Office

Languages Skills

Fluent in English, Additional European language advantageous