Compliance Assurance Manager

Department: Assurance & Risk

Employment Type: Permanent

Location: Stoke-on-Trent

Description

Key Responsibilities

• Lead the quality assurance monitoring programme across the Group.
• Deliver periodic control assessments, walkthroughs and sample testing across key compliance areas including ISQM testing, non-audit service lines and onboarding, internal cold file reviews and internal functions.
• Identify reporting inconsistencies, control weaknesses and compliance gaps, agreeing practical remediation plans with stakeholders and tracking actions through to completion.
• Produce reports on findings, emerging risks, trends and recommendations for management and governance boards.

• Drive continuous improvement initiatives across ethics, regulatory compliance, professional standards and quality assurance.
• Use monitoring results, regulatory developments, stakeholder feedback and management information to enhance the effectiveness and efficiency of compliance controls and processes.
• Identify opportunities to 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 in partnership with subject matter experts, and compliance refresher programmes.
• Promote a strong culture of compliance, quality and continuous learning across the business.

• Provide oversight, guidance and support to Hubs in meeting annual and ongoing compliance requirements
• Partner with Hub colleagues and support teams to ensure alignment with regulatory expectations across Practice Assurance, Client Money, Designated Professional Body (Investment Business), Anti-Money Laundering (AML) and ATOL.
• Provide practical advice and support where risks or compliance gaps are identified, while maintaining accountability within the relevant Hub or business area.

Skills, Knowledge & Expertise

• 3-5 years’ experience in a compliance, risk, assurance, audit, or regulatory role (professional services or regulated environment preferred)
• Hands-on experience managing people, maintaining structured processes and involvement in 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, with the ability to follow processes end-to-end and understanding how controls fit.
• Analytical rigor and investigative ability to dissect large volume and complex data, identifying anomalies and deficiencies, while forming balanced, evidence-based root cause conclusions.
• Commitment to accuracy, consistency, and documentation excellence.
• Able to write clearly and concisely for senior audiences.
• Organised, dependable, and comfortable managing multiple priorities.
• Professional judgement, discretion, and integrity are essential.
• Ability to be self-motivated.
• Practical and solutions-focused, able to seek better ways of working and promote standardisation.
• Comfortable operating in a fast-moving environment.
• Maintains composure around deadlines, and issue escalations.
• Takes ownership and follows things through.

Belong @ Sumer

• We Shine Together
• We Do the Right Thing
• We Make It Count