Matt Carter

Head of 1st Line Risk and Compliance Assurance  As the Head of Business Assurance, you will lead the First Line of Defence function – you and your team will be responsible for business controls, assurance testing, operational resilience, financial crime oversight and supplier risk across the business.   Some ResponsibilitiesLeading the Business Assurance plan - overseeing control testing, monitoring and management information reporting across the businessProviding assurance over operational resilience and business continuity, ensuring plans are robust, tested and aligned with regulatory expectationsLeading First Line Compliance and financial crime control testing, with clear escalation and remediation of findingsOverseeing the group's supplier and outsourcing risk management frameworkSupporting business Risk Owners through RCSAs and enterprise-wide risk managementExperienceSenior experience in financial services risk, assurance, compliance, spanning enterprise risk management, operational resilience or First Line Compliance functionsSound knowledge of control testing, RCSAs, business continuity planning and financial crime frameworksProven ability to lead and develop teamsExperience of technology, cyber and AI risk in a regulated environment.Good understanding of FCA regulation, Consumer Duty, and SYSC frameworks, including SYSC6

Compliance Monitoring Officer   The Compliance Monitoring Officer plays a critical role in ensuring the business meets its regulatory obligations and effectively manages compliance risks. The position is responsible for assessing the adequacy and effectiveness of internal controls, identifying areas of regulatory weakness, and supporting the overarching goal of delivering good consumer outcomes. This includes carrying out scheduled thematic reviews as well as more frequent, hands‑on, risk‑based monitoring activities. The role ensures that business practices remain aligned with FCA expectations, including emerging requirements such as Consumer Duty and Operational Resilience. Some ResponsibilitiesSupport the delivery of compliance reviews and data analysis to assess adherence to FCA rules and internal policies.Record and report monitoring findings, maintain accurate documentation, and support senior management with draft reports.Collaborate with departments across the business to support compliance initiatives and ensure monitoring activities align with regulatory priorities, business risk and consumer outcomes.Build effective relationships with stakeholders to help drive good consumer outcomes.ExperienceMinimum of 2 years’ experience of working in a Compliance Monitoring positionStrong knowledge of FCA expectations including COBS suitability requirements, Consumer Duty, Training and Competence, conduct standards, conflicts of interest and good customer outcomesProven ability to conduct risk-based file reviews, thematic monitoring and targeted assurance activityStrong analytical skillsIdeally holds, or is working towards, a relevant financial planning, compliance or investment qualification, with a commitment to ongoing professional development and ethical standards.

Compliance Assurance Manager  The Opportunity to join a growing and well-established regulated organisation is seeking an experienced Compliance Assurance Manager. This is an excellent opportunity for an experienced compliance professional to play a key role in strengthening governance, risk management and regulatory oversight within a dynamic and evolving business. Some Key ResponsibilitiesLead the delivery of the Compliance Assurance programme across the business.Develop and maintain a comprehensive compliance and assurance framework.Conduct thematic and risk-based compliance reviews.Provide independent challenge to business areas and senior stakeholders.Monitor the implementation of remediation actions and assess their effectiveness.Review and challenge risk assessments, controls and governance arrangements.Support ongoing monitoring of regulatory compliance and emerging risks.Provide guidance on regulatory requirements and best practice.Support internal and external assurance activities where required.Manage and develop members of the compliance team.Promote a positive compliance and risk culture throughout the organisation.Deliver compliance training and awareness initiatives.Contribute to regulatory change projects and business improvement initiatives.ExperienceSignificant experience within a Compliance, Risk or Internal Audit function in a regulated environment.Experience operating within a Second Line of Defence model.Previous people management experience.Strong understanding of governance, risk management and internal controls.Sound knowledge of UK financial services regulation and regulatory expectations.Experience engaging with senior stakeholders and providing constructive challenge.Excellent communication and relationship-building abilities.Relevant professional qualifications or equivalent industry experience.A proactive approach with the ability to prioritise competing demands in a fast-paced environment.