Compliance Assurance Manager

Bath, Whiteley or London Office | Hybrid Working | Salary up to £75k DOE + excellent benefits

Introduction

We are looking for an organised, enthusiastic, and knowledgeable Compliance professional to join our growing Compliance team. As part of the team, you’ll have the opportunity to work in a fast-paced, collaborative environment where you’ll be able to utilise your skills and expertise to deliver amazing outcomes for our clients.

The Compliance Assurance Manager plays a critical role in overseeing and challenging the effectiveness of the organisation’s risk management and control framework. Operating independently from the first line, the role ensures that risks are appropriately identified, assessed, monitored, and mitigated in line with regulatory expectations and internal policies.

Why Saltus?

Our mission is to improve everyone’s relationship with their wealth: to make it a positive force for their future and at the same time to prevent it being a source of anxiety. We want everyone who works at Saltus to be proud to work here, and to find fulfilment and meaning in the work that they do.

We are incredibly proud of our culture and work really hard to ensure that Saltus is a great place to work for our people, where they can have fun and grow in their career, with a passion for excellence and customer service.

We’re proud that we’ve been recognized as a winner by the Sunday Times in the Best Places to Work 2024 awards, as well as a winner in the Professional Adviser awards 2024 for the Best Financial Advisers to Work For. These accolades reflect our commitment to creating an exceptional work environment and our dedication to excellence in the financial industry. Join our award-winning team and be a part of our continued success!

Saltus is a privately owned financial planning and discretionary investment management house. We are dedicated to providing a high-quality service for private clients, trusts, and smaller institutions.

Saltus Partners was founded in 2004 and has grown organically and through a small number of carefully integrated acquisitions. Originally the business started out as an investment manager and has now developed the financial planning side of the offering, putting this at the forefront of the client relationship.

Today Saltus manages and advises on over £11.4 billion of client assets, acquired through a combination of organic business growth and corporate acquisitions.

Can you tell me more about the role?

You’ll have responsibility for a wide range of duties within the Compliance Division, including the following:

• Independently own and continually develop the Compliance Universe, ensuring all relevant risks are accurately identified, assessed, and appropriately prioritised for review.
• Lead, manage, and oversee the delivery of the agreed review programme, ensuring all work is completed to the required standard and within expected time frames.
• Produce high‑quality reports for senior management, clearly presenting findings, insights, and recommendations following the conclusion of each review.
• Provide robust challenge and constructive support to senior managers after each review, helping ensure agreed actions are meaningful, achievable, and aligned with effective risk management.
• Lead, manage and mentor the Second Line of Defence team.
• Consumer Duty Testing: measuring the effectiveness of processes designed to comply with Consumer Duty and assisting in gathering MI for the Consumer Duty Champion’s annual report.
• Provide independent oversight and challenge to First Line activities, ensuring risks are identified and managed effectively.
• Review and challenge risk assessments, controls, and mitigation strategies.
• Ensure consistency in risk practices across business units.
• Ensure compliance with relevant financial regulations and supervisory expectations.
• Track key risk indicators (“KRIs”), issues, and remediation actions.
• Provide insight and analysis on emerging risks and trends.
• Assess effectiveness of controls and recommend improvements.
• Support internal audit and external assurance activities.
• Build strong relationships with First Line teams to promote effective risk management.
• Influence and…