About the role
To lead, design and deliver a robust, data-led Assurance Framework across the firm, ensuring effective first line oversight of Appointed Representatives (ARs) in line with FCA expectations, Consumer Duty and the Group’s risk appetite.
The role will drive continuous evolution of assurance methodology, leveraging data, technology and insight to provide proactive identification of risk, protect customer outcomes and deliver regulatory confidence.
Key responsibilities include;
- Own and lead the Assurance Framework for first line AR oversight, ensuring it is effective, scalable and aligned to regulatory requirements
- Design and implement a data-driven assurance approach, leveraging MI, analytics and technology to drive insight-led outcomes
- Establish and evolve an AR Intelligence capability, integrating internal data and external sources to identify trends, emerging risks and actionable insight
- Deliver all regulatory oversight requirements relating to ARs, including the annual AR Self-Assessment
- Providing impactful reporting and insights to SMFs to drive active discussions in support of meeting their SMCR prescribed responsibilities.
- Develop and maintain a comprehensive suite of governance documentation, ensuring clarity, consistency and auditability
- Drive continuous improvement initiatives to enhance assurance capability, quality and efficiency
- Contribute to strategic change initiatives aligned to broader corporate and regulatory priorities
- Act as a senior representative at governance forums, influencing decision making and risk direction
- Build and lead a high-performing team with a strong delivery focus, growth mindset and accountability culture
- Ensure assurance outputs are aligned to risk appetite and support senior management oversight and decision-making
About you:
Proven experience in financial services, ideally within an AR network or similar oversight model
Strong understanding of FCA regulatory expectations, including AR oversight and Consumer Duty
Demonstrated experience leading assurance, risk, compliance or oversight frameworks
Experience leveraging data, MI and technology to drive decision making and insight
Experience in regulatory reporting and governance environments
Proven experience managing budgets and leading teams
Operates at all times in accordance with FCA requirements, company policies and regulatory standards
Streamline processes, reduce handoffs or manual activity supported by automation, AI for operational efficiency
Maintains a strong focus on delivering good customer outcomes in line with Consumer Duty
Strong strategic thinking with the ability to translate into practical delivery
Excellent stakeholder management and influencing skills at all levels
Highly analytical with strong data interpretation capability
Ability to produce high-quality executive and board-level papers
Leadership capability to build, motivate and develop high-performing teams
Strong communication and presentation skills
Resilient, adaptable and comfortable operating in a fast-paced environment
Proactive and outcome-focused, with a continuous improvement mindset
Ability to drive collaboration across complex organisational structures
Meets SMCR Certification requirements
Additional Information:
Location: Swindon – Hybrid
Duration: 6 months contract