Compliance Assurance Manager

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

📋 Description

• Oversee the quality assurance monitoring program throughout the Group

• Conduct regular control assessments, walkthroughs, and sample testing in compliance areas such as ISQM testing, non-audit services, onboarding, internal cold file reviews, and internal functions

• Detect reporting discrepancies, control deficiencies, and compliance issues

• Collaborate with stakeholders to establish practical remediation plans and monitor the completion of actions

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

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

• Utilize monitoring results, regulatory changes, stakeholder input, and management data to refine compliance controls and processes

• Fortify controls, optimize processes, enhance documentation standards, and advocate best practices across the Group

• Design, coordinate, and implement compliance and quality assurance training programs

• Create and administer new-starter compliance training, technical regulatory training, and refresher courses

• Foster a culture of compliance, quality, and ongoing learning

• Offer oversight, guidance, and assistance to Hubs regarding annual and ongoing compliance requirements

• Collaborate with Hub colleagues and support teams within Practice Assurance, Client Money, Designated Professional Body (Investment Business), Anti-Money Laundering (AML), and ATOL

• Provide practical advice and support when risks or compliance gaps arise

⛳️ Requirements

• 3–5 years of experience in a compliance, risk, assurance, audit, or regulatory capacity

• Practical experience in managing teams, upholding structured processes, and delivering quality assurance programs

• Established ability to engage with senior leaders and cross-functional teams

• Familiarity with multi-entity, multi-jurisdictional environments

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

• Exceptional attention to detail

• Strong analytical skills and investigative capability to assess large volumes of complex data and identify irregularities and shortcomings

• Dedication to accuracy, consistency, and excellence in documentation

• Ability to write clearly and concisely for senior-level audiences

• Well-organized, reliable, and adept at managing multiple priorities

• Exhibits professional judgment, discretion, and integrity

• Self-motivated and proactive

• Practical and solutions-oriented mindset

• Comfortable operating in a dynamic environment

• Ability to maintain composure under deadlines and during issue escalations

• Takes ownership and follows through on commitments

🏝️ Benefits

• Support throughout the hiring process

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