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.

• Execute regular control evaluations, walkthroughs, and sample testing in key compliance areas.

• Perform ISQM testing, reviews of non-audit service lines and onboarding, internal cold file assessments, and evaluations of internal functions.

• Detect reporting discrepancies, control weaknesses, and compliance deficiencies.

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

• 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.

• Leverage monitoring results, regulatory updates, stakeholder input, and management information to enhance compliance controls and processes.

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

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

• Create and conduct compliance training for new starters, technical regulatory training, and refresher programs.

• Encourage a culture of compliance, quality, and ongoing learning.

• Provide oversight, guidance, and assistance to Hubs regarding 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.

• Offer practical advice and assistance when risks or compliance gaps are discovered.

⛳️ Requirements

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

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

• Practical experience in managing personnel.

• Experience in maintaining organized processes.

• Involvement in the implementation of quality assurance programs.

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

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

• Preferred accountancy qualification (ACA / ACCA / CIMA), though not mandatory.

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

• Analytical and investigative skills to identify anomalies and deficiencies, leading to evidence-based root cause analysis.

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

• Ability to articulate ideas clearly and concisely for senior audiences.

• Capability to manage multiple priorities effectively.

• Professional judgment, discretion, and integrity.

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

• Comfort in a fast-paced environment.

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

• Demonstrates ownership and follows through on tasks.

• Must be a permanent resident in the UK.

• Willing to travel regularly across hubs nationwide.

🏝️ Benefits

• Commitment to fairness, barrier removal, and support throughout the hiring process.

• An inclusive workplace where all individuals feel they belong and where differences are valued and celebrated.

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