Compliance Monitoring Manager

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 prioritise
• dLead delivery of the compliance review programme, producing high-quality reporting and insights for senior stakeholder
• sProvide effective challenge and support to management on findings, actions, and risk mitigatio
• nOversee and develop the second line compliance tea
• mConduct thematic testing, including customer-focused regulatory requirement
• sProvide independent oversight and challenge of first line risk and control activitie
• sMonitor key risks, issues, and remediation, identifying trends and control improvement
• sSupport audit activity and contribute to regulatory and business change project
• sBuild strong stakeholder relationships, influencing and promoting a positive risk cultur

eRequirement

• s:Experience operating within a Second Line of Defence (risk/compliance oversight) functi
• onMinimum ~5+ years’ experience in risk, compliance, or audit within financial services, including management responsibili
• tyStrong understanding of the Three Lines of Defence mod
• elSolid knowledge of UK regulatory frameworks, including FCA requirements, SMCR, Consumer Duty, and wealth/platform rul
• esProven people management and leadership capabili

ty…