Senior Compliance Assurance Lead

Rev & Regs; Whiteley; On-site; GBP 80,000 - 120,000; Full time

Job summary

Rev & Regs is partnering with a leading Wealth Management firm to hire an experienced Compliance Monitoring Manager for their second line function.

You will own the compliance assurance framework, lead a high-performing team, and drive robust regulatory risk management in a collaborative, forward-thinking business.

Key duties include delivering risk-based reviews, presenting findings to senior stakeholders, and ensuring ongoing oversight of FCA requirements.

Qualifications

• 5+ years experience in Compliance, Risk or Audit within Financial Services
• Strong 2LOD experience within Wealth Management, Financial Planning or a large IFA environment
• Excellent knowledge of FCA regulations, Consumer Duty and SM&CR
• Previous leadership or line management experience
• Strong stakeholder management and reporting skills

Responsibilities

• Lead the Compliance Assurance Programme and owning the Compliance Universe
• Deliver risk-based compliance reviews and present findings to senior stakeholders
• Provide independent second line oversight and constructive challenge across the business
• Lead and mentor a Compliance Assurance team
• Monitor FCA regulatory requirements, including Consumer Duty, SM&CR and wider compliance obligations
• Track key risk indicators, identify emerging risks and drive improvements to control frameworks
• Support regulatory change initiatives and promote a strong risk and compliance culture

Skills

5+ years experience in Compliance

2LOD oversight

Leadership

Stakeholder management

Job description

Rev & Regs is partnering with a leading Wealth Management firm to hire an experienced Compliance Monitoring Manager for their second line function.

You will own the compliance assurance framework, lead a high-performing team, and drive robust regulatory risk management in a collaborative, forward-thinking business.

Key duties include delivering risk-based reviews, presenting findings to senior stakeholders, and ensuring ongoing oversight of FCA requirements.