Compliance Monitoring Manager

OUR MISSION IS TO ENABLE EVERYONE TO BUILD WEALTH

We reinvent how trading and investing work by creating exceptional products people love.

Fostering a culture of excellence and high velocity is the key to our success.

Тoday, we serve over 5 million clients, with more than €30 billion in assets under management - a testament to the scale and trust we’ve built in just a few years.

 

THE ROLE

The Compliance Monitoring Manager supports the organisation in meeting its regulatory obligations, with a focus on FCA requirements.

This role focuses on the end-to-end execution and management of the company’s compliance monitoring framework to ensure the business meets regulatory standards. The individual is responsible for daily oversight of the monitoring plan. This includes identifying procedural gaps, conducting "second-line" testing, and documenting findings. Beyond just identifying issues, they report any findings to management, tracking the development, implementation, and reporting corrective actions to senior leadership to drive continuous improvement.

WHAT YOU’LL DO

- Lead regular compliance monitoring in accordance with the annual Compliance Monitoring Plan.

- Drive improvement and Identify any gaps or weaknesses in the Plan and propose remedial actions.

- Day to day management and oversight of the Plan, ensuring tests are completed on time and that progress is made against the overall plan.

- Scope, implement and manage second line testing to ensure alignment with regulatory requirements and business processes.

- Oversee findings, recommended actions and management responses together with agreed timescales and action owners.

- Follow up on management's implementation of agreed actions whilst reporting all outstanding actions to the Senior Compliance Manager, escalating where relevant to the Head of Compliance.

- Track business unit actions to mitigate risk and support continuous improvement across the business.

- Ensure that the plan ...