Compliance Assurance Manager

Compliance Assurance Manager

We are seeking an experienced Compliance Assurance Manager to join our Compliance Function and play a key role in delivering independent, evidence-based assurance over the firm’s processes, controls, and governance arrangements. You will lead assurance and monitoring activities that test business compliance with regulatory requirements and internal standards, focusing on areas presenting the highest risk.

Working closely with senior stakeholders, you will design and execute assurance reviews, provide insightful reporting, and drive improvements that strengthen the firm’s overall compliance framework and control environment.

Key Responsibilities

• Lead the design and delivery of the annual Compliance Assurance Plan, ensuring a risk-based and proportionate approach.
• Manage and perform assurance reviews, monitoring activities, and thematic deep dives across key compliance and regulatory risk areas.
• Provide independent evaluation of business processes and controls, including testing the accuracy and completeness of regulatory reporting.
• Communicate findings effectively, agree remediation actions with stakeholders, and track progress to completion.
• Produce clear, concise, and insightful assurance reports and management information (MI) for senior leadership.
• Conduct quality assurance and peer reviews to maintain high standards across the team’s assurance work.
• Partner with Compliance colleagues to deliver broader thematic reviews and contribute to the Compliance Function’s analytical and planning framework.
• Promote a strong compliance and conduct culture throughout the organisation, providing credible challenge and guidance on emerging risks.

Skills and Experience

• Significant experience in a compliance assurance, internal audit, or regulatory oversight role within financial services.
• Strong understanding of regulatory frameworks and expectations, including international compliance standards.
• Proven ability to assess risks, analyse complex information, and form sound judgments.
• Experience in regulatory change testing or project oversight.
• Excellent communication skills with the ability to influence and engage stakeholders at all levels.
• Strong organisational skills, capable of managing multiple workstreams simultaneously.

Seniority level

Director

Employment type

Full-time

Job function

Other

Industries

Insurance and Investment Management