Eames Consulting are currently supporting an established Wealth Manager looking to appoint a Compliance Monitoring Manager to lead the compliance monitoring function.
Responsibilities:
* Develop and implement a risk-based compliance monitoring framework aligned with organisational risk appetite and regulatory expectations
* Lead the delivery of monitoring activities across client-facing functions, including oversight of branch and field reviews
* Provide independent second-line assurance through structured testing, thematic reviews, and ongoing analysis
* Design and maintain procedures for new and existing monitoring activities
* Track, validate, and ensure timely closure of remediation actions
* Escalate material findings and provide regular updates to senior stakeholders
* Identify control gaps and weaknesses within the compliance framework
Requirements:
* Minimum of CISI or CII level 4 qualifications and working towards Level 6
* Minimum of 5 years’ Compliance experience within the financial services or a similar regulated industry.