Compliance Monitoring Lead, Seccl
£60-80k
The embedded investment platform
Open for applications
The embedded investment platform
101-200 employees
Open for applications
£60-80k
101-200 employees
Company mission
Seccl is the Octopus-owned embedded investment platform that’s helping more people to invest – and invest well.
Role
Who you are
- 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
What the job involves
- Your 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
- 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
Application process
- Interviewing 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 risk
- Second stage – one-hour technical interview or assessment with the CRO and Compliance lead
- Final 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 take
Seccl is an embedded investment platform revolutionising how companies offer investment services. With its API-first technology infrastructure it helps financial professionals and businesses launch and manage investment platforms easily. By simplifying old, clunky processes, Seccl gives firms the tools they need to offer customers a seamless, digital investing experience - whether it's for financial advisers, neobanks, or fast-growing startups.
Since being acquired by Octopus in 2019, Seccl has seen impressive growth. Now supporting over 190,000 investors as well as managing more than £13.4B in funds through its platform. With this, Seccl is well on track to power even more businesses and as it continues to grow, its mission to disrupt the industry with smarter, scalable solutions is only growing in momentum.
Steph
Company Specialist at Welcome to the Jungle
Company
Company benefits
- Flexible/hybrid working: We don’t prescribe when or how many days you come into the office. It’s what you deliver that’s important
- Events and socials: Twice-yearly all-company offsites, regular team socials and plenty of non-work activities – from gigs to sporting activities – to get stuck into
- Private medical: Access GP and other health and dental appointments work through private medical insurance
- Focus on mental health: Your wellbeing is more important than work. We offer free and confidential access to therapy if you need it
- Long-service award: A month’s fully-paid sabbatical when you’ve worked here for eight years (we’re part of Octopus, after all)
- The usual stuff: 27 days’ holiday (plus religious holidays and your birthday), Cycle2Work scheme and workplace pension
Company values
- Never settle
- Take ownership
- Be generous and candid
Company HQ
Holborn, London, UK
Articles
Leadership
David Ferguson
(CEO)Joined Seccl in 2022 as CEO. Prior to that, they spent 15 years as the CEO of Nucleus Financial Group.
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