合规保证经理
Compliance Assurance Manager
在 Sumer，我们致力于打造一个现代化、高效且技术驱动的合规项目，以帮助我们满足监管要求。合规与保障经理支持 Sumer 的合规框架，确保符合监管要求，为集团内部控制系统提供专业指导和评估。与质量与保障主管及合规主管合作，该职位有助于在审计、非审计服务和内部职能中实施质量和保障计划，并为各中心和中央团队提供实际支持，以保持高质量和合规标准。
主要职责
质量保障与合规监控
- 领导集团范围内的质量保障监控计划。
- 在关键合规领域（包括 ISQM 测试、非审计服务线和入职流程、内部冷文件审查和内部职能）进行定期控制评估、流程演练和样本测试。
- 识别报告不一致、控制薄弱环节和合规缺口，与相关方达成实际整改计划，并跟踪行动直至完成。
- 编制发现结果、新兴风险、趋势和建议的报告，供管理层和治理委员会参考。
持续改进
- 推动伦理、监管合规、专业标准和质量保障方面的持续改进计划。
- 利用监控结果、监管发展、相关方反馈和管理信息，提升合规控制和流程的有效性和效率。
- 识别加强控制、优化流程、提高文档标准并推动集团内最佳实践的机会。
培训与能力建设
- 设计、协调并实施合规和质量保障培训计划。
- 开发并实施新员工合规培训、与主题专家合作开展的技术性监管培训以及合规复习课程。
- 在整个业务中推广强大的合规、质量意识和持续学习文化。
中心合规支持
· 为各中心提供监督、指导和支持，以满足年度和持续的合规要求
- 与中心同事和支持团队合作，确保在实践保障、客户资金、指定专业机构（投资业务）、反垄断等方面符合监管期望
查看英文原文
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