At a Glance
- Tasks: Lead compliance monitoring activities and ensure regulatory adherence in a dynamic fintech environment.
- Company: Join a fast-growing fintech company on a mission to revolutionise financial services.
- Benefits: Competitive salary, generous holiday, hybrid working, and professional development support.
- Other info: Remote-first culture with opportunities for career growth and personal development.
- Why this job: Make a real impact in a diverse team while shaping the future of financial technology.
- Qualifications: 6+ years in compliance monitoring with strong FCA knowledge and excellent communication skills.
The predicted salary is between 54000 - 66000 £ per year.
The Company
Timeline is a financial technology company on a mission to help millions of people plan, invest for, and enjoy retirement with confidence.
As a privately owned fast-growing fintech company providing Platform, MPS and financial planning solutions, we are well placed to disrupt the traditional financial services market.
Our technology cuts out unnecessary costs, inefficiencies and anxiety for financial advisers, while improving the long-term investment returns for their clients.
We are a remote-first company with team members in over 13 countries.
And given our diversity of thought, backgrounds and life experiences, we are constantly striving to celebrate individual uniqueness, while achieving our common mission.
As a scaling, high-growth company, developing and adapting are the norm.
If you’re after a dynamic company where you will make a real difference, then read on!
The Role
We are seeking an experienced Compliance Monitoring Manager to join our Risk and Compliance team on a permanent basis.
This role has been created to support delivery of our compliance monitoring activities, including the design, execution, tracking and reporting of the Compliance Monitoring Plan.
The role sits within the second line of defence and reports directly to the Chief Risk and Compliance Officer.
It requires someone who has hands-on experience planning and delivering compliance monitoring reviews.
- Role Responsibilities
- Compliance Monitoring Plan
- Own the design, maintenance and delivery of the Compliance Monitoring Plan (CMP), including risk-based prioritisation of reviews
- Plan and execute monitoring reviews, testing and sample-based assurance work across the business
- Engage with business stakeholders as part of these activities
- Ensure cross-linkage with other second line activities, eg risk assessments, risk registers, regulatory change, incident investigation etc
- Conduct compliance surveillance and thematic reviews to identify issues, control gaps and instances of non-compliance
- Monitor financial crime controls as part of the monitoring programme
- Findings, Remediation and Reporting
- Track and follow up remediation actions arising from monitoring findings through to completion
- Prepare compliance monitoring papers and reports for the Risk and Compliance Committee and Board, covering findings, themes and remediation progress
- Coordinate reviews and sign-off of monitoring outcomes with relevant governance forums, including the Risk and Compliance Committee
- Schedule and coordinate third-party thematic reviews and assurance work
- Role Requirements
Core knowledge & experience
- 6+ years' experience in compliance monitoring roles within an FCA-regulated investment firm
- Demonstrable experience designing or operating a Compliance Monitoring Plan, including risk-based prioritisation and remediation tracking
- Proven experience conducting compliance monitoring reviews, testing and thematic assurance work, with the ability to identify, evidence and elevate control gaps
- Experience preparing monitoring reports and papers for committee and Board audiences, translating findings into clear themes and recommendations
- Strong working knowledge of FCA rules including COBS, SYSC, PRIN, and Consumer Duty (PRIN 2A)
- Familiarity with Mi FID II, SM&CR, CASS, and financial crime frameworks (AML/KYB/DDQ)
- Experience engaging with the FCA
- Excellent written communication skills, with the ability to prepare board-level documentation
- Proven ability to work independently and at pace within a structured programme environment
Ideal knowledge & experience
- Background in internal audit, quality assurance or 2nd/3rd line testing methodologies
- Experience in an MPS provider and/or investment platform business
- Familiarity with platform governance
- Familiarity with third-party oversight frameworks
- Experience using compliance software / tools
- Professional qualifications (e. g., ICA, CISI) desirable but not essential
- The Package
- Competitive salary, dependent on experience
- Non-contributory pension scheme
- 28 days holiday plus bank holidays
- Non-contractual bonus scheme
- Potential to join company option scheme
- Insurance plans
- Cost of relevant professional qualifications and memberships
- Hybrid working
- Flexible hours (depending on team requirements)
- Wellbeing support
- #J-18808-Ljbffr
Compliance Monitoring Manager employer: Timelineapp Tech Limited
At Timelineapp Tech Limited, we pride ourselves on being an excellent employer that fosters a dynamic and inclusive work culture. Our hybrid working arrangements provide flexibility, while our commitment to employee growth ensures that you will have ample opportunities for professional development and career advancement in the rapidly evolving fintech sector. Join us to be part of a forward-thinking team that values innovation and collaboration, all within a supportive environment.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Monitoring Manager
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Timelineapp Tech Limited looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Monitoring Manager
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Timelineapp Tech Limited. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Timelineapp Tech Limited
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Timelineapp Tech Limited’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
