Head of Assurance

Davies Group; Swindon; On-site; GBP 70,000 - 90,000; Full time

Job summary

A leading advisory network in the UK is looking for a dynamic Head of Assurance to manage the oversight of Appointed Representatives. The role includes leading the assurance framework, overseeing regulatory reporting, and developing initiatives to align assurance standards with best practices. Candidates should have strong regulatory knowledge, leadership experience, and budget management skills.

Qualifications

• Deep knowledge of regulatory requirements for oversight of Appointed Representatives.
• Proven experience in leading teams and managing budgets of £2 million or more.
• Ability to engage and influence senior stakeholders.

Responsibilities

• Lead and manage the assurance framework of first line controls.
• Oversee regulatory reporting and annual self-assessment.
• Develop continuous improvement initiatives for assurance standards.
• Implement and evolve an AR intelligence unit.
• Represent at key governance groups across the firm.

Skills

Knowledge of regulatory requirements

Team leadership

Stakeholder engagement

Budget management

Job description

Overview

Our client, an ambitious & growing adviser network, known for their inclusive & supportive culture, are looking to appoint a dynamic Head of Assurance to own, develop and enhance the framework for the appropriate oversight of the Appointed Representatives (ARs).

Responsibilities

• Lead, manage & deliver the assurance framework of first line controls for oversight of ARs.
• Oversee regulatory reporting as part of the oversight of ARs, including annual self-assessment.
• Develop & deliver continuous improvement initiatives to ensure assurance standards are aligned to FCA expectations & best practice.
• Implement & evolve an AR intelligence unit to identify trends and drive actionable insights.
• Represent & present at key governance groups across the firm.

Qualifications

The ideal candidate will have deep knowledge & understanding of the regulatory requirements and expectations for the oversight of ARs and have proven experience in leading teams whilst managing a budget of £2mil+; with the ability to engage and influence senior stakeholders.