Senior Compliance Monitoring Manager

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 project
• 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

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