Compliance Analyst

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