Compliance Lead

Bath, UK

Company Description

Who are we?
At Seccl, we’re rebuilding the infrastructure of investments and advice. We provide the vital technology that empowers forward-thinking, entrepreneurial advisers and wealth managers to build the efficient, customer-centric businesses of the future. Powered by Seccl, they can scale faster, become more valuable and improve their service — by operating their own platform.

And we help fintechs to realise their ambitions, by providing plug-and-play access to financial markets. With us at their core, they can build innovative investment or advice solutions on top of our technology quickly and cheaply.

We recently became part of the Octopus Group – an innovative group of companies that’s on a mission to breathe new life into financial services and energy. Founded in 2000, Octopus now manages more than £8.6 billion, and its companies have more than a million customers between them.

How can you help?

Building a best in class compliance and risk function within a fast growth technology driven fintech business.

What will you be doing?

  • As our compliance lead you will build out the compliance function at Seccl, help other teams deliver great, and compliant user experiences, and support the leadership in running our company
  • You ensure that as Seccl scales rapidly (we expect to have billions of assets and hundreds of thousands of customers in a short period of time) the compliance systems scale up
  • You'll own our internal policies and act as the ultimate 2nd line owner of how we operate, you will be happy challenging the business and you will welcome challenge
  • You will work closely with our bizops lead, to make sure everything we do across AML, KYC, ongoing monitoring, financial crime, financial promotions, and complaints deliver an optimal user experience, comply with regulations and is as tech driven as is possible
  • Perform the role of Data Protection Officer

At Seccl we believe that by using technology properly we can reduce business risk, be more efficient and deliver excellent customer experience, without compromising on any one of these. 

Managing our regulatory relationships

You will lead on our communications with the FCA.  We have good processes to ensure our regulatory reporting is accurate and timely but you will own these going forward.

Supporting the governance of the firm

As a member of the leadership team, you'll help the founders in building the structure needed to succeed at scale. You will also take on appropriate controlled functions (and SMFs as they go live).

Who are we looking for?

You’ll be someone who’s…

  • Willing and able to hold a senior management function; previous experience as approved person required
  • Experience in compliance or risk at a financial services firm or high growth fintech
  • Naturally analytical, helping the team come up with automatic controls to reduce financial crime and spot suspicious activity
  • Comfortable supervising high volume AML/KYC processes, CASS and ongoing monitoring
  • Excited by the prospect of helping a young company use technology to manage, mitigate and reduce risk
  • Hands-on – we are all in trenches doing every day. You need to be as comfortable dealing with an individual rec issue, as you are presenting the regulatory strategy to the board
  • Planning ahead for future regulatory changes
  • The ability to inspire a high performing team and build relationships both internally and externally
  • Experience designing, developing and implementing all compliance standards, documentation and providing any required training

How do we work?

We’re a team of ambitious, talented, and creative people who are passionate about using technology to improve our financial world.

We have a positive, open environment that promotes fresh ideas, challenge and experimentation, and encourages continual learning. We provide flexible working that focusses on delivery rather than just focusing on hours worked.

We’re based in the historic City of Bath, just  10 minutes’ walk from the train station.

And the vital statistics?

  • Competitive salary
  • Flexible working arrangements
  • Exposure to the latest technology and an opportunity to help shape the future direction
  • 25 days holiday and a day off for your birthday
  • Pension & life assurance


Like what you see? Just send your CV to and our Head of People, Rebecca, will be in touch


Job Description

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