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 crucial compliance areas, such as ISQM testing, non-audit service lines and onboarding, internal cold file reviews, and internal functions.

• Detect reporting discrepancies, control vulnerabilities, and compliance shortcomings.

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

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

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

• Utilize monitoring outcomes, regulatory updates, stakeholder feedback, and management information to enhance compliance controls and processes.

• Spot opportunities to fortify controls, streamline processes, elevate documentation standards, and advocate best practices.

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

• Develop and provide training for new starters on compliance, technical regulatory subjects with subject matter experts, and compliance refreshers.

• Foster a culture of compliance, quality, and lifelong learning.

• Offer oversight, guidance, and support to Hubs in fulfilling annual and ongoing compliance obligations.

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

• Deliver practical advice and support when risks or compliance gaps arise while maintaining accountability within the respective Hub or business area.

⛳️ Requirements

• 3-5 years of experience in a compliance, risk, assurance, audit, or regulatory position (preferably in professional services or a regulated environment).

• Practical experience in managing teams, sustaining structured processes, and participating in quality assurance program delivery.

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

• Experience in multi-entity, multi-jurisdictional settings.

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

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

• Analytical rigor and investigative skills to evaluate large volumes of complex data, pinpoint anomalies and deficiencies, and reach evidence-based root cause conclusions.

• Dedication to accuracy, consistency, and excellence in documentation.

• Ability to articulate clearly and concisely for senior audiences.

• Organized, reliable, and adept at managing multiple priorities.

• Professional judgement, discretion, and integrity are essential.

• Self-motivated with a practical and solutions-oriented mindset.

• Comfortable operating in a dynamic environment.

• Ability to maintain composure under deadlines and during issue escalations.

• Takes ownership and ensures follow-through on tasks.

• Must be a permanent resident in the UK and open to regular travel across hubs nationwide.

🏝️ Benefits

• Support provided during the hiring process for candidates in need.

• An inclusive workplace where everyone feels valued and differences are celebrated.

• A commitment to fairness and the elimination of barriers.

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