At a Glance
- Tasks: Lead compliance monitoring and enhance frameworks to identify key risks.
- Company: Established Wealth Manager with a focus on compliance excellence.
- Benefits: Competitive salary, leadership opportunities, and a dynamic work environment.
- Other info: Join a team that values positive risk culture and stakeholder relationships.
- Why this job: Make a significant impact in compliance while developing your leadership skills.
- Qualifications: 5+ years in risk or compliance, with strong management experience.
The predicted salary is between 59576 - 60000 £ 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.
Senior Compliance Monitoring Manager employer: Eames Consulting
Join a well-respected syndicate that values expertise and fosters a collaborative work culture, making it an excellent employer for Senior Claims Adjusters. With a focus on employee growth and development, you will have the opportunity to manage a diverse portfolio of complex claims while working alongside industry leaders in a dynamic London Market environment. Enjoy competitive benefits and a supportive atmosphere that encourages professional advancement and meaningful contributions to the team.
