Compliance Analyst
Posted
The Compliance Analyst plays a hands-on role in making sure Sumer operates in line with professional, ethical, and regulatory requirements. The role has a strong focus on conflicts of interest, running end-to-end processes from initial checks through to investigation, monitoring, and clear record-keeping.
Alongside conflicts work, the role supports wider compliance reporting, assurance activity, and data analysis, helping turn information into insight for senior leaders.
This is a delivery role with real responsibility, visibility, and impact.
Compliance Operations & Regulatory Support
- Support the delivery of the Group Compliance framework across regulatory, ethical, professional standards and financial crime requirements.
- Review and investigate compliance matters, including conflicts of interest, ethics queries, AML and other regulatory concerns.
- Support compliance processes, registers and approvals, ensuring appropriate assessment, documentation and escalation.
- Provide practical guidance to colleagues and support the implementation of regulatory and policy changes.
Compliance Monitoring & Assurance
- Undertake compliance monitoring, testing and reviews against policies, procedures and regulatory requirements, including AML controls.
- Identify risks, control weaknesses and opportunities for improvement.
- Document findings, recommend actions and monitor progress through to completion.
Compliance Portal & Systems
- Support the operation of the Compliance Portal, including submissions, declarations, approvals and workflows.
- Monitor completion, maintain accurate records and support colleagues with queries.
- Identify opportunities to improve systems, processes and controls.
Data, Reporting & Continuous Improvement
- Analyse compliance data to identify trends, emerging risks and areas requiring attention.
- Prepare management information, reports and practical recommendations for stakeholders.
- Support compliance projects, communications, training and wider improvement activities across the Group.
Stakeholder Support
- Act as a trusted point of contact for compliance-related queries
- Work closely with Legal, Risk, Compliance, and operational teams
Support training, guidance, and awareness activity where needed
Experience
- Experience in a compliance, risk, or regulatory role (professional services or regulated environment preferred)
- Hands-on experience managing structured processes and working with registers or case management systems
- Exposure to conflicts of interest, ethics, or independence frameworks is a strong advantage
Skills & Attributes
- Strong attention to detail, with the ability to follow processes end-to-end
- Comfortable investigating issues and forming balanced, evidence-based conclusions
- Confident working with data, spreadsheets, and dashboards
- 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
Mindset
- Practical and solutions-focused
- Curious and willing to challenge where something doesn’t look right
- Comfortable operating in a fast-moving environment
- Takes ownership and follows things through