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About the Role
We are seeking an experienced Compliance Monitoring Manager to join our Risk and Compliance team. This role supports the delivery of compliance monitoring activities, including the design, execution, tracking, and reporting of the Compliance Monitoring Plan. The position is within the second line of defence and reports to the Chief Risk and Compliance Officer.
Responsibilities
- Own the design, maintenance, and delivery of the Compliance Monitoring Plan (CMP), including risk-based prioritization 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, such as risk assessments, risk registers, regulatory change, and incident investigation.
- 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 program.
- Track and follow up on 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.
Requirements
- 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 prioritization 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 program 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.
Skills
- Compliance monitoring
- FCA rules (COBS, SYSC, PRIN, Consumer Duty)
- MiFID II
- SM&CR
- CASS
- Financial crime frameworks (AML/KYB/DDQ)
- Written communication
- Independent work
- Internal audit
- Quality assurance
- Testing methodologies
- Platform governance
- Third-party oversight
- Compliance software
Location
- Remote-first
Work Type
- Permanent
- Hybrid working
- Flexible hours
Experience Level
- 6+ years' experience in compliance monitoring roles
Education Level
- Professional qualifications (e.g., ICA, CISI) desirable but not essential
Salary/Compensations
- Competitive salary, dependent on experience
Benefits
- 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
- Wellbeing support
About the Company
- Timeline is a financial technology company focused on helping people plan, invest for, and enjoy retirement with confidence.
- As a privately owned, fast-growing fintech company, we provide Platform, MPS, and financial planning solutions, aiming to disrupt the traditional financial services market.
- Our technology reduces costs, inefficiencies, and anxiety for financial advisers while improving investment returns for their clients.
- We are a remote-first company with a diverse team across 13 countries, celebrating individual uniqueness while pursuing our common mission.
- As a scaling, high-growth company, we embrace development and adaptation.