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About the Role
Take ownership of Compliance Monitoring and Quality Assurance activities, ensuring compliance controls function as intended, operational teams adhere to policies, and identified issues are resolved promptly.
Responsibilities
- Develop and continuously improve Compliance Monitoring and QA frameworks, methodologies, annual plans, and review approach.
- Define monitoring scope, testing methods, sampling, and reporting requirements based on regulatory requirements and business risks.
- Maintain and regularly update Compliance Monitoring and QA methodologies, plans, templates, and trackers.
- Adjust the monitoring and QA approach based on regulatory changes, risk assessments, audit findings, and changes in business activities.
- Perform risk-based and thematic Compliance Monitoring reviews and QA activities.
- Assess compliance with internal policies and procedures and evaluate the effectiveness of key compliance controls.
- Document findings and prepare clear, practical review reports and recommendations.
- Agree corrective actions with relevant owners and maintain the remediation tracker.
- Follow up on identified findings through to closure and verify that agreed actions have been effectively implemented.
- Escalate material findings, repeated issues, control weaknesses, and overdue remediation to the MLRO and relevant management.
- Provide regular reporting on monitoring results, QA trends, key findings, recurring issues, and remediation progress.
- Work closely with Compliance and operational teams to promote consistent application of policies, procedures, and compliance controls across the business.
Requirements
- Experienced in Compliance Monitoring, Compliance Assurance, Quality Assurance, Internal Controls, or a similar compliance oversight role, ideally within fintech, payments, banking, or another regulated financial services environment.
- Comfortable developing and maintaining risk-based monitoring programmes and QA frameworks, not just executing an existing checklist.
- Experienced in conducting thematic reviews, control testing, file sampling, and operational QA.
- Able to assess both compliance with documented procedures and whether the underlying controls are genuinely effective.
- Confident translating regulatory requirements and identified risks into practical testing methodologies.
- Strong at documenting findings and producing concise, evidence-based reports with clear recommendations.
- Comfortable challenging stakeholders, agreeing remediation actions, and following up until issues are properly resolved.
- Highly organised and able to manage multiple reviews, findings, deadlines, and stakeholders at the same time.
- Analytical, detail-oriented, and able to spot patterns and recurring weaknesses rather than looking at issues in isolation.
- A clear communicator who can explain compliance issues in practical business language.
- Fluent in written and spoken English.
Experience Level
- Experienced
Benefits
- Competitive compensation and an attractive employee benefits package.
- Health insurance to support your well-being.
- Educational bonus to support your professional development and continuous learning.
About the Company
- xpate is an all-in-one money management platform built for businesses, fintechs, and regulated industries.
- Born in Riga and now spreading around the globe, xpate helps digital businesses pay, get paid, and keep money flowing seamlessly and securely across borders, industries, and technologies.