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
Eames Consulting is an exceptional employer that fosters a collaborative and innovative work culture, ideal for actuaries looking to make a significant impact in portfolio management. With a strong emphasis on employee growth, we offer ample opportunities for professional development and mentorship, all while enjoying the vibrant atmosphere of London. Our competitive salary package and hybrid working model ensure a balanced and rewarding work experience.
We think you need these skills to ace Senior Compliance Monitoring Manager
Compliance Monitoring
Risk Management
Regulatory Knowledge
FCA Requirements
SMCR
Consumer Duty
Wealth Management Regulations
