Compliance Assurance Manager

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

📋 Description

• Oversee the quality assurance monitoring program for the Group.

• Conduct control assessments, walkthroughs, and sample testing in various compliance areas, including ISQM, non-audit services, onboarding, internal cold file reviews, and internal functions.

• Identify discrepancies in reporting, weaknesses in controls, and gaps in compliance.

• Collaborate with stakeholders to establish remediation plans and ensure actions are completed.

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

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

• Enhance compliance controls and processes by utilizing monitoring outcomes, regulatory updates, stakeholder insights, and management information.

• Strengthen controls, optimize processes, enhance documentation standards, and advocate for best practices.

• Design, coordinate, and deliver training focused on compliance and quality assurance.

• Provide training for new starters on compliance, technical regulatory subjects, and refresher courses.

• Cultivate a culture that values compliance, quality, and ongoing learning.

• Offer oversight, guidance, and support to Hubs regarding compliance requirements.

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

• Offer practical advice when risks or compliance gaps are detected, while ensuring accountability within the relevant Hub or business area.

⛳️ Requirements

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

• Experience in professional services or a regulated environment is preferred.

• Hands-on experience in managing personnel.

• Proven experience in maintaining structured processes.

• Involvement in executing quality assurance programs.

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

• Familiarity with multi-entity, multi-jurisdiction environments.

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

• Strong attention to detail.

• Analytical and investigative skills to examine complex data and pinpoint anomalies and deficiencies.

• Commitment to precision, consistency, and documentation excellence.

• Ability to communicate clearly and concisely to senior audiences.

• Highly organized and capable of managing multiple priorities.

• Professional judgment, discretion, and integrity.

• Ability to work autonomously.

• Practical, solutions-oriented mindset.

• Comfortable working in a fast-paced environment.

• Ability to manage deadlines and handle issue escalations.

• Commitment to ownership and follow-through.

🏝️ Benefits

• Support throughout the hiring process.

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