Compliance Manager (Fintech)

TL;DR

Compliance Manager (Fintech): Ensuring the firm meets its regulatory obligations by delivering monitoring activities and thematic reviews with an accent on FCA requirements and governance frameworks. Focus on interpreting regulations for financial promotions, managing breach oversight, and embedding a culture of compliance across business functions.

Location: Hybrid (London, UK)

Company

Award-winning investment platform specializing in exchange-traded funds (ETFs).

What you will do

• Deliver compliance monitoring and thematic reviews with clear findings and actionable follow-up points.
• Review and oversee financial promotions and influencer activity to ensure FCA compliance.
• Provide practical regulatory advice to Product, Operations, Marketing, and Investment teams.
• Support breach oversight and investigations, including root cause and trend analysis.
• Maintain and enhance policies, controls, and data protection governance frameworks.
• Contribute compliance input into change initiatives and regulatory change assessments.

Requirements

• 5+ years of experience in a compliance role within financial services or a regulated environment.
• Strong understanding of FCA regulatory expectations, including Consumer Duty, DISP, and COBS.
• Excellent analytical skills and attention to detail for assessing data and reports.
• Ability to manage a varied workload and deliver to strict deadlines.
• Confident communication skills to provide commercially balanced regulatory advice.
• Must be based in or be able to work hybridly in London.

Nice to have

• Experience supporting remediation activity or issue resolution programmes.
• Familiarity with data protection governance and regulatory communications.
• Experience contributing to governance forums or control improvement initiatives.

Culture & Benefits

• Remote-first and flexible work approach focusing on results over rigid hours.
• Transparent and open culture with open decision-sharing and collaboration.
• Opportunities to expand responsibilities and shape long-term direction as the company scales.
• Supportive environment working alongside high-calibre industry experts.

Hiring process

• Introductory call with the Talent team.
• Gamified cognitive assessment.
• Competency interview focusing on experience (may include a short task or case study).
• Senior leadership interview for cultural and strategic alignment.