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Compliance monitoring lead
2 weeks ago
About usSeccl is the Octopus-owned embedded investment platform that’s on a mission to helping more people to invest – and invest well.You could be just the right applicant for this job Read all associated information and make sure to apply.We’re B-Corp certified with an amazing product-market fit, impressive early traction and the potential to transform an outdated industry, for the better. We've been growing fast and will scale even faster over the next few years.We’re also proud to be part of Octopus, the £multi billion group that's on a mission to breathe new life into broken industries, through companies like Octopus Energy, Octopus Investments and Octopus Money.Check out the Seccl website for the latest on our products and our mission to shape the future of investments.The roleYour role will be to provide support to the business and deliver our oversight responsibilities in an agile and adaptable way, as well as supporting the Chief risk officer in ensuring that the compliance monitoring plan and oversight fulfils its second line responsibilities in ensuring the business complies with the FCA regulations, ensuring any compliance risks are addressed.On a typical day you will…Shape and deliver our risk-based Compliance Monitoring Plan.Keep us aligned with key regulations like SYSC, CASS, COBS, and CONC.Refresh the plan as new risks, rules, or business priorities emerge.Keep a close eye on how we’re performing against our regulatory obligations.Spot issues early, dig into root causes, and drive meaningful fixes.Identify control gaps and turn insights into practical improvements.Streamline and automate monitoring wherever you can.Assess risks to focus our efforts where they matter most.Stay ahead of regulatory change — and make sure the business does too.Share clear, actionable insights with senior stakeholders and committees.Partner with teams across the first and second lines to get things done.Coach and develop our Compliance Senior Analyst.This role’s for you if you...Love sharing your regulatory expertise and guiding colleagues to make the right decisions.Are naturally analytical, curious, and enjoy exploring different options before taking action.Have hands-on experience in a compliance role within an FCA-authorised firm and want to take your skills to the next level.Are confident navigating the FCA Handbook — particularly CASS, dealing and settlement, and AML rules — and turning complex requirements into practical, actionable steps.Understand HMRC requirements for ISA managers and SIPP operators and are ready to help shape how these are applied across the business.This role isn’t for you if...You rely on a lot of top-down direction. Here, you’ll have a lot of freedom and ownership of your role, and you’ll be expected to shape your own progressionYou’re not comfortable working in a fast-paced environment. Our speed and scalability are what set us apart; you need to be able to act quickly and think on your feetYou struggle to follow through on ideas. We value people who do what they say they will. If you care about something, you have the freedom here to make it happenYou don’t like change. You’ll get on great here if you relish the ambiguity of rapid growth and are willing to embrace uncertaintyWhat’s in it for you…We offer a generous mix of benefits for the things that really matter to our people, including: A salary between £60,000 and £80,000 – dependant on experience + reviewed annually 27 days holiday + bank holidays (some can be flexible) + day off on your birthday + three days (full time) per year for Dependant leave Two volunteering days per year Option to work abroad for up to six weeks a year Secclbrate - our recognition programme that offers a mix of flexible rewards including extra pay, additional holiday and increased learning budget Length of service award – one month paid sabbatical at eight years 6% employer pension contribution, and life assurance Private medical insurance with AXA Health Enhanced Parental leave MacBook and up to £500 home office set up budget £750 per person learning budget Health and wellbeing initiatives including free therapy via Wellness Cloud, mental health support via Headspace Strong financial wellbeing focus including access to Octopus Money, Octopus Share Incentive Plan and will writing offering via Octopus Legacy Perkbox – Flexi-points giving you a range of discounts and perks including free weekly coffee, gym and retail discounts Access to initiatives like Cycle to Work and Octopus Electric Vehicle LeasingOur cultureWe\'re proud to put people first, creating a culture where we truly listen to what matters most to them. Our transparent and inclusive environment encourages diversity of thought, challenge and experimentation.Check out our Glassdoor page for the latest reviews or our LinkedIn for company updates and insights from the team.Interview processInterviewing is a two-way thing, and we want you to have the time and opportunity to get to know us, as much as we are getting to know you. Our interviews are conversational, so come with questions and be curious. In general, you can expect the interview process to look a bit like this, (following an initial chat with one of our Talent team):First stage – 45 mins competencies-based interview with the Head of riskSecond stage – one-hour technical interview or assessment with the CRO and Compliance leadFinal stage - 45 mins bar-raiser culture-based interview We’ll only close this role once we have enough applications for the next stage. Please submit your application as soon as possible to make sure you don’t miss out and you should expect to hear back from us within one to two weeks of applying. Our aim is to build a diverse and inclusive company of awesome people, with unique skills, passions and experiences. xpwpeyx All applicants will be considered for employment without attention to age, ethnicity, religion, sex, sexual orientation, gender identity, family or parental status, national origin, or veteran, neurodiversity or disability status.If this sounds like your kind of thing, we encourage you to apply even if you don’t tick every box. We’d love to hear from you#J-18808-Ljbffr
