Brown Shipley | A Quintet Private Bank
Compliance Risk & Control Officer
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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.
This is a key role within the compliance framework, supporting the business in identifying, assessing and managing Financial Crime and Regulatory Compliance risks, while ensuring strong alignment to regulatory requirements and internal standards.
Working closely with stakeholders across the business, you will review and challenge first line controls, provide clear and pragmatic guidance on risk mitigation, and support effective governance and reporting across key risk areas. You will play an important role in maintaining a robust and well-functioning control environment, ensuring risks are properly understood, managed and escalated where needed.
This is a hands-on role offering strong exposure across the business, suited to someone who has worked as a Compliance Officer or Compliance Analyst, enjoys working in a practical, delivery-focused way and is comfortable balancing challenge with partnership. It’s an opportunity to contribute directly to how the firm manages risk, while developing your experience within a collaborative and evolving Compliance function.
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Key Accountabilities
- Maintain an effective control framework and to ensure compliance with all relevant external laws & regulations, internal codes and policies and good market practices
- Act as a risk steward in the review & challenge of high-risk clients' files for the business and other set of first line of defence controls in mitigating Financial Crime and Regulatory compliance risks
- Support with second line governance covering Financial Crime & Regulatory risk exposures ensuring adequate analysis and reporting is provided to local governance as well as Group governance committees. Ensure independence of the first line of defence, thereby maintaining an objective assessment of risk exposure
- Support Group Heads of FCC, Group Head of RC&CB and other colleagues on all FCC and RC-related matters
- Regulatory culture: The role holder must carry out all duties in strict accordance with Group 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
- Quintet’s Regulatory & Financial Crime Compliance policies and procedures: Support country/Group compliance officer in deploying new changes in policy aligning to any change in Group strategy or regulatory landscape.
- Interactions with regulators: if needed, assisting local Head of Compliance as well in their interactions with regulators by informing key stakeholders, gathering the relevant information and assisting in the drafting of responses in a timely manner
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Knowledge and Experience
- Familiarity with Policy and procedures impact analysis and deployment.
- ICA ML/FCC or subject matter expertise in regulatory compliance topics qualifications preferred.
- A graduate in any discipline with exposure in a relevant risk or audit profile
- Experience in establishing and maintaining risk and controls framework for ML/CTF, Sanctions, ABC, Fraud, tax evasion risks
Technical Skills
- At least 3 years experience in a similar role
- Higher Education (University / Bachelor)
- MS Office
Languages Skills
- Fluent in English, additional European language advantageous
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