Compliance Monitoring Manager

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

• 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

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 escalate 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 MiFID 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

• 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

• 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

This listing is from Indeed. View original listing ↗