Compliance Manager – Oversight & Assurance

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Compliance Manager – Oversight & Assurance

  • Location:

    United Kingdom

  • Contact:

    Piere Forbes

  • Contact email:

    piere.forbes@equitycity.co.uk

  • Contact phone:

  • Job ref:

    655

  • Published:

    3 days ago

  • Expiry date:

    2025-08-21

Job Title: Compliance Manager – Oversight & Assurance
Location: London
Salary Range: Competitive, based on experience
Reporting to: Head of Compliance
Type: Permanent / Hybrid

Overview:

This is a key leadership role within the compliance function, responsible for delivering oversight and assurance across regulatory and internal compliance frameworks. Acting as a strategic partner to the Head of Compliance, you will lead on the design and execution of the annual monitoring plan, ensure effective testing of compliance controls, and provide robust reporting to senior stakeholders. This role is central to strengthening governance, driving regulatory standards, and maintaining a culture of transparency, accountability, and continuous improvement.

Key Responsibilities:

  • Lead the delivery of the annual Compliance Oversight & Assurance Monitoring Plan
  • Report findings on compliance risks, controls, breaches, and root causes to senior management
  • Prepare insightful, data-led MI and reports for executive committees and external stakeholders
  • Manage special investigations and thematic reviews, ensuring timely resolution and tracking
  • Maintain the Compliance Oversight & Assurance Framework, ensuring alignment with evolving regulations
  • Act as the primary liaison with internal assurance functions (Risk, Audit, Controls)
  • Support the Head of Compliance as a strategic advisor and operational lead
  • Promote a culture of Speak Up / Listen Up and psychological safety across the organisation
  • Line manage and develop a small team, including mentoring, career development, and performance feedback
  • Embed diversity, equity, and inclusion into team practices and culture

What We're Looking For:

  • Excellent knowledge of UK regulatory requirements (FCA/PRA), with 7+ years in compliance, audit, risk, or regulatory roles
  • Proven expertise in compliance testing, assurance frameworks, and controls effectiveness
  • Strong interpersonal skills with the confidence to challenge, influence, and communicate with senior stakeholders
  • Ability to produce high-quality written reports, interpret complex regulation, and meet strict deadlines
  • Experience managing teams and developing junior compliance professionals
  • Minimum of a degree-level education, with relevant professional qualifications

Desirable but Not Essential:

  • Experience within the Insurance/London Market sector
  • Familiarity with key regulatory issues such as AML, ABC, sanctions, fraud, Lloyd’s licensing, and anti-competitive practices

About the Company:

A well-established insurer operating within the Lloyd’s and London Market, known for its technical expertise, strong governance, and inclusive culture. The business places a high value on integrity, collaboration, and continuous improvement, with a strategic focus on regulatory excellence and operational resilience.