At a Glance
- Tasks: Oversee compliance and risk management, ensuring effective controls and reporting.
- Company: Award-winning financial planning and investment management firm with a vibrant culture.
- Benefits: Up to £75k salary, 28 days holiday, flexible working, and study assistance.
- Other info: Flexible working options available; great career growth opportunities.
- Why this job: Join a dynamic team making a real impact in the financial industry.
- Qualifications: 5+ years in compliance or risk, with management experience preferred.
The predicted salary is between 70000 - 75000 € per year.
We are looking for an organised, enthusiastic, and knowledgeable Compliance professional to join our growing Compliance team. The Compliance Assurance Manager plays a critical role in overseeing and challenging the effectiveness of the organisation’s risk management and control framework. Operating independently from the first line, the role ensures that risks are appropriately identified, assessed, monitored, and mitigated in line with regulatory expectations and internal policies.
We are incredibly proud of our culture and work really hard to ensure that Saltus is a great place to work for our people, where they can have fun and grow in their career, with a passion for excellence and customer service.
You’ll have responsibility for a wide range of duties within the Compliance Division, including the following:
- Independently own and continually develop the Compliance Universe, ensuring all relevant risks are accurately identified, assessed, and appropriately prioritised for review.
- Produce high‑quality reports for senior management, clearly presenting findings, insights, and recommendations following the conclusion of each review.
- Provide robust challenge and constructive support to senior managers after each review, helping ensure agreed actions are meaningful, achievable, and aligned with effective risk management.
- Consumer Duty Testing: measuring the effectiveness of processes designed to comply with Consumer Duty and assisting in gathering MI for the Consumer Duty Champion’s annual report.
- Provide independent oversight and challenge to First Line activities, ensuring risks are identified and managed effectively.
- Review and challenge risk assessments, controls, and mitigation strategies.
- Ensure consistency in risk practices across business units.
- Ensure compliance with relevant financial regulations and supervisory expectations.
- Track key risk indicators (“KRIs”), issues, and remediation actions.
- Provide insight and analysis on emerging risks and trends.
- Build strong relationships with First Line teams to promote effective risk management.
- Provide training and guidance to enhance risk awareness and capability.
- Provide compliance support across projects, particularly in response to regulatory changes or operational improvements.
Minimum 5 years’ experience in a risk, compliance, or audit role within financial services and at least 2 at a management level.
Experience in risk reporting and governance forums.
Experience working with a Wealth Manager, large-scale IFA, or network.
Project management knowledge is desirable but not essential.
Relevant financial services qualifications (compliance, risk, or advisory).
Proactive and adaptable in a fast-paced regulatory environment.
We’re incredibly flexible about where, when, and how you work: we don’t want anyone to be prevented from coming to work for Saltus as a result of the working pattern that they’re looking for. Ideally, you’d be able to be based out of either our Bath, London or Whiteley office for a minimum of three days each week, working the remainder of the week from home.
The role is 40 hours per week to be worked between the hours of 8:30-5.30pm with a salary range of £70,000 - £75,000 per year, depending on experience. Alongside this, you get fantastic benefits including 28 days’ holiday (plus bank holidays + your birthday off!), study assistance, life assurance cover, income protection and a pension, alongside access to our flexible benefits platform.
Locations
Regulatory and Compliance Manager in Bath, Somerset employer: Saltus
At Saltus, we pride ourselves on fostering a vibrant and inclusive work culture that prioritises employee growth and satisfaction. With hybrid working options from our Bath, Whiteley, or London offices, we offer competitive salaries and an array of benefits, including generous holiday allowances and professional development support. Recognised as one of the Best Places to Work by the Sunday Times, we are committed to creating an environment where compliance professionals can thrive and make a meaningful impact in the financial services sector.
StudySmarter Expert Advice🤫
We think this is how you could land Regulatory and Compliance Manager in Bath, Somerset
✨Tip Number 1
Network like a pro! Reach out to people in the industry, attend events, and connect on LinkedIn. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by researching the company and its culture. Understand their values and how they align with your own. This will help you stand out and show that you're genuinely interested in being part of their team.
✨Tip Number 3
Practice your responses to common interview questions, but keep it natural. Use the STAR method (Situation, Task, Action, Result) to structure your answers and highlight your relevant experience in compliance and risk management.
✨Tip Number 4
Don’t forget to follow up after your interview! A quick thank-you email can leave a lasting impression and shows your enthusiasm for the role. Plus, it keeps you on their radar as they make their decision.
We think you need these skills to ace Regulatory and Compliance Manager in Bath, Somerset
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter for the Regulatory and Compliance Manager role. Highlight your relevant experience in risk management and compliance, and show us how you align with our values and culture.
Showcase Your Achievements:When detailing your past roles, focus on specific achievements that demonstrate your expertise in compliance and risk management. Use metrics where possible to quantify your impact, as this will help us see the value you can bring to our team.
Be Clear and Concise:Keep your application clear and to the point. We appreciate well-structured documents that are easy to read. Avoid jargon unless it’s relevant to the role, and make sure your key points stand out.
Apply Through Our Website:We encourage you to apply directly through our website. This ensures your application is received promptly and allows us to process it efficiently. Plus, it’s a great way to explore more about our company culture and values!
How to prepare for a job interview at Saltus
✨Know Your Compliance Stuff
Make sure you brush up on the latest regulations and compliance frameworks relevant to the financial services industry. Being able to discuss specific examples of how you've managed risks or ensured compliance in previous roles will show that you're not just knowledgeable, but also practical.
✨Prepare for Scenario Questions
Expect to be asked about how you would handle specific compliance challenges. Think of scenarios where you've had to identify, assess, or mitigate risks. Prepare clear, structured responses that highlight your problem-solving skills and ability to work independently.
✨Showcase Your Reporting Skills
Since producing high-quality reports is a key part of the role, be ready to discuss your experience with risk reporting. Bring examples of reports you've created and be prepared to explain how you presented findings and recommendations to senior management.
✨Build Relationships
Emphasise your ability to build strong relationships with first-line teams. Share examples of how you've collaborated with other departments to promote effective risk management. This will demonstrate your interpersonal skills and your understanding of the importance of teamwork in compliance.
