Compliance Assurance Manager

About the role

The is a pivotal position focused on ensuring the integrity and robustness of the firm's compliance posture. In this role, you will provide compliance assurance across the business, embedding a disciplined approach to regulatory adherence. You will own the compliance testing framework and controls, establishing a reliable methodology for evaluating control effectiveness. Furthermore, you will monitor and report on regulatory adherence, providing clear insights to leadership on the control environment. You will also support policy and procedure development, ensuring documentation aligns with regulatory expectations and business needs. A core part of this position involves investigating compliance incidents and root causes to prevent recurrence and strengthen controls. You will coordinate with internal audit and external regulators, fostering constructive relationships and ensuring seamless collaboration. Finally, you will deliver assurance on third-party risk management and maintain compliance documentation and evidence in an organized and accessible manner.

Key facts

What you'll do

• You will provide compliance assurance across the business through systematic and thorough evaluations.
• You will own the compliance testing framework and controls, ensuring methodologies are current and comprehensive.
• You will monitor and report on regulatory adherence, highlighting trends, risks, and areas for improvement.
• You will support policy and procedure development, contributing to clear, compliant, and practical documentation.
• You will investigate compliance incidents and root causes, driving corrective actions and learning opportunities.
• You will coordinate with internal audit and external regulators to ensure alignment and transparency.
• You will deliver assurance on third-party risk management, assessing controls and dependencies effectively.
• You will maintain compliance documentation and evidence, ensuring completeness and readiness for audits or inspections.
• You will utilize compliance testing techniques to validate control implementation and ongoing operation.
• You will apply control frameworks to structure assessments and ensure consistency in approach.
• You will conduct regulatory mapping to confirm that business activities meet applicable requirements.
• You will perform risk assessments to identify, evaluate, and prioritize compliance risks accurately.
• You will use investigation techniques to trace issues, verify findings, and recommend improvements.
• You will engage in stakeholder communication, ensuring clarity, alignment, and cooperation across teams.

Requirements

• You need proven compliance assurance experience in financial services, demonstrating a track record in this specific domain.
• You need knowledge of FCA rules and principles, understanding how they apply to financial services operations.
• You need experience with compliance testing and control frameworks, showing familiarity with established methodologies.
• You need the ability to interpret regulations and map them to appropriate controls effectively.
• You need experience using compliance management tools, leveraging technology to track and report on compliance activities.
• You need strong analytical and problem-solving skills to assess complex information and derive actionable insights.
• You need high attention to detail and accuracy to ensure work is thorough, reliable, and error-free.
• You need effective communication and stakeholder management skills to engage diverse audiences clearly and professionally.
• You need degree-level education or equivalent experience, showing a foundational level of knowledge and capability.
• You need experience in a regulated UK financial services environment, understanding the specific challenges and expectations.
• You need knowledge of anti-money laundering (AML) requirements, including detection, reporting, and mitigation measures.
• You need familiarity with data protection and privacy regulations, recognizing the importance of safeguarding personal information.
• You need a risk management or internal audit background, bringing a structured approach to evaluating and managing risks.

Nice to have

• It helps if you have experience in a regulated UK financial services environment, deepening your contextual understanding.
• It helps if you have knowledge of anti-money laundering (AML) requirements, strengthening your ability to manage financial crime risks.
• It helps if you are familiar with data protection and privacy regulations, supporting robust compliance practices.
• It helps if you have a risk management or internal audit background, broadening your perspective on control and assurance.
• It helps if you have project management experience, aiding in the coordination and delivery of compliance initiatives.
• It helps if you have exposure to financial crime and fraud prevention, aligning with broader regulatory and operational priorities.

Practical notes

Location: London. Note: Work model: hybrid. For , provide compliance assurance across the business. For , own the compliance testing framework and controls. For , monitor and report on regulatory adherence. For , support policy and procedure development. For , investigate compliance incidents and root causes. For , coordinate with internal audit and external regulators. For , deliver assurance on third-party risk management. For , maintain compliance documentation and evidence. Note: Degree-level education or equivalent experience. Note: Proven compliance assurance experience in financial services. Note: Knowledge of FCA rules and principles. Note: Experience with compliance testing and control frameworks. Note: Ability to interpret regulations and map to controls. Note: Experience using compliance management tools. Note: Strong analytical and problem-solving skills. Note: High attention to detail and accuracy. Note: Effective communication and stakeholder management. Note: Knowledge of anti-money laundering (AML) requirements. Note: Familiarity with data protection and privacy regulations. Note: Risk management or internal audit background.