Compliance Assurance Manager

This is a fully remote position, open to applicants in United Kingdom.

📋 Description

• Oversee the comprehensive quality assurance monitoring initiative across the Group.

• Conduct control assessments, walkthroughs, and sample testing in various compliance domains, such as ISQM, non-audit services, onboarding, internal cold file evaluations, and internal functions.

• Detect reporting inconsistencies, control vulnerabilities, and compliance deficiencies.

• Collaborate with stakeholders to establish remediation plans and monitor actions until completion.

• Generate reports detailing findings, emerging risks, trends, and recommendations for management and governance boards.

• Foster continuous enhancement in ethics, regulatory compliance, professional standards, and quality assurance.

• Improve compliance controls and processes utilizing monitoring results, regulatory changes, stakeholder feedback, and management insights.

• Reinforce controls, optimize processes, elevate documentation standards, and endorse best practices.

• Design, organize, and deliver training on compliance and quality assurance.

• Provide onboarding, technical regulatory, and refresher compliance training.

• Cultivate a culture centered on compliance, quality, and ongoing learning.

• Offer oversight, guidance, and assistance to Hubs regarding compliance obligations.

• Collaborate with Hub colleagues and support teams across Practice Assurance, Client Money, Designated Professional Body (Investment Business), AML, and ATOL.

• Offer practical guidance when risks or compliance gaps are identified, while ensuring accountability within the respective Hub or business area.

⛳️ Requirements

• 3-5 years of experience in compliance, risk, assurance, audit, or regulatory roles.

• Preferably experienced in professional services or regulated environments.

• Practical experience in managing teams.

• Proven track record in maintaining structured processes.

• Experience in implementing quality assurance programs.

• Demonstrated ability to collaborate with senior leaders and cross-functional teams.

• Familiarity with multi-entity, multi-jurisdictional settings.

• Accountancy qualification (ACA / ACCA / CIMA) is preferred but not required.

• Strong attention to detail with the capability to adhere to processes from start to finish.

• Analytical and investigative skills to assess complex data and detect anomalies and deficiencies.

• Proficient in writing clearly and concisely for senior audiences.

• Organized and capable of managing multiple priorities effectively.

• Exhibits professional judgment, discretion, and integrity.

• Self-driven, practical, solutions-oriented, and adaptable to a fast-paced environment.

• Ability to maintain poise under deadlines and during escalated issues.

• Takes ownership and ensures tasks are completed thoroughly.

🏝️ Benefits

• Commitment to fairness, eliminating barriers, and providing support throughout the hiring process.

• An inclusive workplace where everyone feels they belong, and differences are appreciated and celebrated.

• A values-driven culture: We Shine Together, We Do the Right Thing, We Make It Count.