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- Tasks: Lead compliance monitoring and enhance frameworks to identify key risks.
- Company: Established Wealth Manager with a focus on compliance and risk management.
- Benefits: Remote work options, competitive salary, and opportunities for professional growth.
- Other info: Flexible working environment with hubs across the country.
- Why this job: Make a real impact in compliance while shaping a positive risk culture.
- Qualifications: 5+ years in risk or compliance, with strong leadership skills.
The predicted salary is between 60000 - 75000 £ 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
This role can be based remotely with different hubs around the country that can be traveled into.
Compliance Assurance Manager in Portsmouth employer: Eames Consulting
Contact Detail:
Eames Consulting Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Assurance Manager in Portsmouth
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector, especially those who have experience in compliance. A friendly chat can lead to insider info about job openings or even a referral.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of the Three Lines of Defence model and UK regulatory frameworks. We want you to be able to discuss how you can enhance compliance monitoring and support management effectively.
✨Tip Number 3
Showcase your leadership skills! Be ready to share examples of how you've developed teams or influenced a positive risk culture in previous roles. This will help you stand out as a strong candidate for the Compliance Assurance Manager position.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive and engaged with our platform.
We think you need these skills to ace Compliance Assurance Manager in Portsmouth
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Assurance Manager role. Highlight your experience in risk and compliance, especially within financial services, and don’t forget to mention any leadership roles you've had. We want to see how you fit into our world!
Showcase Your Skills: In your cover letter, showcase your skills related to the Three Lines of Defence model and your understanding of UK regulatory frameworks. We’re looking for someone who can own and enhance our compliance monitoring framework, so let us know how you can do that!
Be Specific About Your Experience: When discussing your past roles, be specific about your achievements and how they relate to the responsibilities listed in the job description. We love numbers and results, so if you’ve improved compliance processes or led successful teams, shout about it!
Apply Through Our Website: Finally, make sure to apply through our website! It’s the best way for us to keep track of your application and ensure it gets the attention it deserves. We can’t wait to see what you bring to the table!
How to prepare for a job interview at Eames Consulting
✨Know Your Compliance Frameworks
Make sure you brush up on the compliance monitoring frameworks relevant to the role. Understand the Three Lines of Defence model inside out, as well as UK regulatory frameworks like FCA requirements and Consumer Duty. This knowledge will help you demonstrate your expertise and show that you're ready to take charge.
✨Prepare for Scenario Questions
Expect questions that ask you to provide examples of how you've handled compliance challenges in the past. Think about specific situations where you identified risks, implemented controls, or influenced stakeholders. Having these examples ready will showcase your experience and problem-solving skills.
✨Showcase Your Leadership Skills
As a Compliance Assurance Manager, you'll need to lead a team effectively. Be prepared to discuss your management style and how you've developed teams in the past. Highlight any successes in mentoring or coaching others, as this will demonstrate your capability to oversee and enhance the second line compliance team.
✨Build Rapport with Stakeholders
Since building strong relationships is key in this role, think about how you can convey your interpersonal skills during the interview. Share examples of how you've influenced senior stakeholders or promoted a positive risk culture in previous roles. This will show that you can navigate complex relationships and drive compliance initiatives successfully.