Senior Compliance Assurance Lead, 2LOD – Wealth

Rev & Regs; Bath; On-site; GBP 65,000 - 90,000; Full time

Job summary

Rev & Regs is partnering with a leading Wealth Management firm to hire an experienced Compliance Monitoring Manager to join their growing second line function. This is an excellent opportunity to own a compliance assurance framework while leading a high-performing team in a collaborative business.

Key responsibilities include owning the Compliance Universe, conducting risk-based reviews, and providing independent oversight across the organisation.

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

• Leading the Compliance Assurance Programme and owning the Compliance Universe.
• Delivering risk-based compliance reviews and presenting findings to senior stakeholders.
• Providing independent second line oversight and constructive challenge across the business.
• Leading and mentoring a Compliance Assurance team.
• Monitoring FCA regulatory requirements, including Consumer Duty, SM&CR and wider compliance obligations.
• Tracking key risk indicators, identifying emerging risks and driving improvements to control frameworks.
• Supporting regulatory change initiatives and promoting a strong risk and compliance culture.

Skills

Compliance

Risk management

Audit

Leadership

Stakeholder management

Job description

Rev & Regs is partnering with a leading Wealth Management firm to hire an experienced Compliance Monitoring Manager to join their growing second line function. This is an excellent opportunity to own a compliance assurance framework while leading a high-performing team in a collaborative business.

Key responsibilities include owning the Compliance Universe, conducting risk-based reviews, and providing independent oversight across the organisation.