At a Glance
- Tasks: Lead compliance monitoring and enhance frameworks to identify key risks.
- Company: Established Wealth Manager with a focus on compliance and risk management.
- Benefits: Competitive salary, career development opportunities, and a supportive work environment.
- Other info: Join a dynamic team and influence key regulatory projects.
- Why this job: Make a real impact in compliance while shaping a positive risk culture.
- Qualifications: 5+ years in risk/compliance with strong leadership skills required.
The predicted salary is between 60000 - 80000 £ per year.
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.
Regulatory Affairs Manager /Senior Manager in England employer: Eames Consulting
Join a dynamic and forward-thinking Wealth Manager that prioritises compliance and risk management in a supportive and collaborative environment. With a strong commitment to employee development, you will have access to tailored training programmes and opportunities for career progression, all while working in a vibrant location that fosters innovation and teamwork. Our culture encourages open communication and values the contributions of every team member, making it an excellent place for those seeking meaningful and rewarding employment.
