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.