Compliance Assurance Manager
Employment Information
Report this job
Job expired or something wrong with this job?
Job Description
Compliance Assurance Manager leading quality monitoring, regulatory controls, and compliance training. Supporting Sumer’s Hubs and teams in maintaining high standards across its compliance programme.
Responsibilities:
- Lead the quality assurance monitoring programme across the Group
- Deliver periodic control assessments, walkthroughs, and sample testing across compliance areas including ISQM testing, non-audit service lines, onboarding, internal cold file reviews, and internal functions
- Identify reporting inconsistencies, control weaknesses, and compliance gaps
- Agree practical remediation plans with stakeholders and track actions through completion
- Produce reports on findings, emerging risks, trends, and recommendations for management and governance boards
- Drive continuous improvement across ethics, regulatory compliance, professional standards, and quality assurance
- Use monitoring results, regulatory developments, stakeholder feedback, and management information to improve compliance controls and processes
- Strengthen controls, streamline processes, improve documentation standards, and promote best practice across the Group
- Design, coordinate, and deliver compliance and quality assurance training programmes
- Develop and deliver new-starter compliance training, technical regulatory training, and refresher programmes
- Promote a culture of compliance, quality, and continuous learning
- Provide oversight, guidance, and support to Hubs on annual and ongoing compliance requirements
- Partner with Hub colleagues and support teams across 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 are identified
Requirements:
- 3–5 years’ experience in a compliance, risk, assurance, audit, or regulatory role
- Hands-on experience managing people, maintaining structured processes and delivering quality assurance programmes
- Proven ability to work with senior leaders and cross-functional teams
- Exposure to multi-entity, multi-jurisdiction environments
- Accountancy qualification (ACA / ACCA / CIMA) preferred but not mandatory
- Strong attention to detail
- Analytical rigor and investigative ability to analyze large volumes of complex data and identify anomalies and deficiencies
- Commitment to accuracy, consistency, and documentation excellence
- Ability to write clearly and concisely for senior audiences
- Organized, dependable, and comfortable managing multiple priorities
- Professional judgment, discretion, and integrity
- Ability to be self-motivated
- Practical and solutions-focused approach
- Comfortable operating in a fast-moving environment
- Ability to maintain composure around deadlines and issue escalations
- Takes ownership and follows things through
Benefits:
- Support during the hiring process
- Inclusive workplace where everyone belongs and differences are valued and celebrated
Similar Jobs
Data Compliance Consultant
Consultant conformité Data chez Talan, groupe international de conseil en technologie et data. Audits, analyse réglementaire et pilotage de projets RGPD, LCB-FT et BCBS 239.
Compliance Associate – Medicare/ACA
Compliance Associate supporting Medicare/ACA regulatory operations at Senior Market Sales. Managing investigations, audits, marketing approvals, training, and compliance reporting.
Regulatory Representative
Regulatory Representative managing Globalstar’s satellite communications compliance and licensing. Coordinating FCC, ITU, spectrum, export-control, and agency matters across global markets.
Manager, Governance, Risk & Compliance
Senior GRC leader scaling Doppel’s security, privacy, compliance, and AI governance program. Owning certifications, enterprise risk, controls, customer trust, and a growing GRC team.
Regulatory and Start Up Specialist, Portuguese Speaker
Regulatory and Start Up Specialist enabling clinical trial site activation in Spain for Precision for Medicine, a global clinical research organization. Managing submissions, contracts, budgets, and essential documents.
Regulatory and Site Start-Up Specialist
Regulatory and Site Start-Up Specialist supporting clinical trial submissions and site activation in Taiwan. Coordinating authorities, ethics committees, essential documents, and cross-functional study teams.
Security/Compliance SME
Security/compliance SME advancing Department of the Air Force ICAM capabilities for Koniag Government Services. Aligning Zero Trust architectures, ATO processes, and governance studies with DoD policy.
Consultant, Accreditation Compliance
Accreditation compliance consultant supporting Navitus’ pharmacy benefit manager quality programs. Leading audits, accreditation readiness, corrective actions, and stakeholder education.
SCRM Compliance SME
SCRM compliance expert securing federal technology supply chains for Accenture Federal Services. Developing policies, assessments, controls, and audit evidence across 500+ projects.
Regulatory Specialist – Canada
Local Regulatory specialist supporting Health Canada lifecycle submissions for biologic and small molecule rare disease products. Providing Canadian regulatory intelligence and coordinating Health Canada interactions.
CMC Regulatory Consultant, Biologics
CMC Regulatory Consultant supporting biologic and rare-disease product submissions to Health Canada. Managing Canadian life-cycle regulatory activities, CMC authoring, and regulatory intelligence for Syneos Health clients.
Senior DOT Compliance Instructor
Senior DOT compliance instructor training commercial drivers and overseeing fleet compliance for SOLV Energy’s utility-scale energy infrastructure projects. Fully remote with 70–80% travel to field locations.
Senior Regulatory Affairs Program Lead – MedTech Surgery
Regulatory Affairs Lead advancing Johnson & Johnson’s OTTAVA robotic instruments and accessories approvals. Developing global strategies, authoring FDA submissions, and guiding product teams.
Senior Regulatory Affairs Specialist
Senior Regulatory Affairs Specialist advancing regulatory strategy for Eko Health’s FDA-cleared AI stethoscopes, ECG hardware, and digital health platforms. Leading QMS remediation and global market submissions.
Senior Compliance Analyst
Senior Compliance Analyst investigating escalated Medicare Advantage sales and marketing compliance cases for Devoted Health. Recommending corrective actions, improving workflows, and supporting compliance analysts.
Senior Compliance Analyst – Healthcare Regulatory Compliance
Senior Compliance Analyst safeguarding Cuvo Health’s telehealth MSO infrastructure across US healthcare regulations. Auditing physician arrangements, FMV compensation, licensing, and multi-state compliance.
Senior Regional Compliance Officer
Senior Compliance Officer overseeing MoneyGram agent AML/CFT and anti-fraud compliance across Australia and New Zealand. Acting as Deputy Compliance Officer and liaising with regulators and law enforcement.
VP, Policy and Regulatory Strategy
VP leading Circle’s Latin American policy, licensing, and regulatory strategy. Shaping market expansion for digital-asset payments and blockchain financial infrastructure.
Government Compliance Technical Specialist
Government compliance specialist advancing FedRAMP, TX-RAMP, and IRAP programs for BeyondTrust’s identity security SaaS. Automating evidence collection and managing cloud compliance documentation and remediation.
Regulatory Consultant – Submission Manager, Veeva RIM
Regulatory Consultant managing Veeva Vault RIM submission plans and regulatory publishing for Syneos Health’s life sciences clients. Supporting Vertex submission managers with project tracking and coordination.