Compliance Assurance Lead – Second Line Risk

Eames Consulting; England; On-site; GBP 70,000 - 100,000; Full time

Job summary

Eames Consulting is supporting a wealth manager to appoint a Compliance Assurance Manager who will lead the monitoring function and develop the second line of defence. You will drive the framework, deliver the review programme and provide challenge to management on risk and controls.

We seek a leader with 5+ years in risk/compliance within financial services, strong FCA/SMCR knowledge, and proven people management capability. The role is based in the UK wealth sector.

Qualifications

• Experience in a Second Line of Defence (risk/compliance oversight) function.
• 5+ years in risk, compliance or audit within financial services, with management responsibility.
• Strong knowledge of UK regulatory frameworks (FCA, SMCR, Consumer Duty, wealth/platform rules).

Responsibilities

• Own and enhance the compliance monitoring framework and identify key risks.
• Lead delivery of the compliance review programme with high-quality reporting for senior stakeholders.
• Provide challenge and support to management on findings, actions, and risk mitigation.
• Oversee and develop the second line compliance team.
• Coordinate thematic testing including customer-focused regulatory requirements.
• Provide independent oversight of first line risk and control activities.

Skills

Second Line of Defence

Risk management

Compliance oversight

Leadership

FCA knowledge

SMCR

Consumer Duty

Job description

Eames Consulting are currently supporting an established 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