Eames Consulting are currently supporting an established and growing Wealth Manager looking to appoint a Compliance Assurance Manager to lead the monitoring function.
Responsibilities:
- Own and enhance the compliance monitoring framework, ensuring key risks are identified and prioritised
- Lead delivery of the compliance review programme, producing high-quality reporting and insights for senior stakeholders
- Provide effective challenge and support to management on findings, actions, and risk mitigation
- Oversee and develop the second line compliance team
- Conduct thematic testing, including customer-focused regulatory requirements
- Provide independent oversight and challenge of first line risk and control activities
- Monitor key risks, issues, and remediation, identifying trends and control improvements
- Support audit activity and contribute to regulatory and business change projects
- Build strong stakeholder relationships, influencing and promoting a positive risk culture
Requirements:
- Experience operating within a Second Line of Defence (risk/compliance oversight) function
- Minimum ~5+ years’ experience in risk, compliance, or audit within financial services, including management responsibility
- Strong understanding of the Three Lines of Defence model
- Solid knowledge of UK regulatory frameworks, including FCA requirements, SMCR, Consumer Duty, and wealth/platform rules
- Proven people management and leadership capability
This role can be based remotely with different hubs around the country that can be traveled into.