Senior Compliance Monitoring Manager

Eames Consulting are currently supporting an established Wealth Manager looking to appoint a Compliance Assurance Manager to lead the monitoring function.ResponsibilitiesOwn and enhance the compliance monitoring framework, ensuring key risks are identified and prioritisedLead delivery of the compliance review programme, producing high-quality reporting and insights for senior stakeholdersProvide effective challenge and support to management on findings, actions, and risk mitigationOversee and develop the second line compliance teamConduct thematic testing, including customer-focused regulatory requirementsProvide independent oversight and challenge of first line risk and control activitiesMonitor key risks, issues, and remediation, identifying trends and control improvementsSupport audit activity and contribute to regulatory and business change projectBuild strong stakeholder relationships, influencing and promoting a positive risk cultureRequirementsExperience operating within a Second Line of Defence (risk/compliance oversight) functionMinimum ~5+ years’ experience in risk, compliance, or audit within financial services, including management responsibilityStrong understanding of the Three Lines of Defence modelSolid knowledge of UK regulatory frameworks, including FCA requirements, SMCR, Consumer Duty, and wealth/platform rulesProven people management and leadership capability