Compliance Assurance Manager

At Sumer we have the ambition to deliver our compliance programme that is modern, slick and technology-enabled to enable us to meet our regulatory obligations. The Assurance and Compliance Manager supports the Sumer compliance framework to ensure regulatory requirements are met, providing professional guidance and assessment of internal controls across the group. Working with the Head of Quality & Assurance and Head of Compliance, the role helps to deliver a quality and assurance programme across audit, non-audit services and internal functions, and provides practical support to Hubs and central teams to help maintain high standards of quality and compliance.

Key Responsibilities

Quality Assurance & Compliance Monitoring

• 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.

Continuous Improvement

• 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.

Training & Capability Building

• 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.

Hub Compliance Support

• 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

Personal Attributes

• 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

At Sumer, we know everyone’s journey is different. That’s why we’re committed to fairness, removing barriers and giving people the support they need to do their best work. If you need any support during the hiring process, just let us know.

Our values represent what matters most to us and guide how we work every day:

• We Shine Together

• We Do the Right Thing

• We Make It Count

We know diverse teams make us stronger. That’s why we’re creating an inclusive workplace where everyone belongs and differences are valued and celebrated.

Originally posted on Himalayas