Compliance Monitoring Analyst

Compliance · London, London, City of
Department Compliance
Employment Type Full-Time
Minimum Experience Entry-level

About Uphold

Uphold is an easy-to-use investments and payments app. Specialising in digital assets, we serve more than 7 million customers in 150 countries. We open around 15,000 accounts a day and provide consumers with a more versatile and cost-effective home for their daily financial lives. For businesses, we provide regulated infrastructure to connect crypto with fiat currencies. Today, we support 51 digital assets, 28 national currencies, four precious metals and fractional U.S. equities. 

Uphold’s unique trading experience - ‘Anything-to-Anything’ - allows customers to trade directly between any supported asset or currency in one step - physical gold to Bitcoin, for example - saving both time and money. Uphold supports financial inclusion by enabling customers virtually anywhere to open an account in less than 5 minutes and to invest with no minimum amounts. Customers can send money to virtually anyone with an email address free of charge. 

To learn more, please visit https://uphold.com

If you’re a Rockstar and this sounds interesting and challenging, we want to hear from you. Apply here!


The opportunity: 

Uphold is looking for a Compliance Monitoring Officer, to join its UK based Compliance Team who are key to ensuring that appropriate mechanisms are in place to address the regulatory requirements of the business, whilst maintaining good customer outcomes. 

This is a great opportunity to work for a vibrant company and get lots of exposure across the business. 

Reporting to the Compliance Monitoring Manager you will assist in providing a 2nd line of defence assurance to the business on its activities and those of suppliers.


What you’ll be doing primarily:

  • Assisting in the delivery of the annual compliance monitoring plan by scoping regulatory reviews, conducting testing, documenting results, and drafting reports based on the results.
  • Working proactively to identify control gaps and weaknesses, determine root cause, and escalate and propose commercially viable solutions to any issues and weaknesses in business processes or systems, and to mitigate risk.
    Tracking issues highlighted in reviews to ensure timely remediation.
  • Communicating review results clearly and succinctly with senior management and stakeholders.
  • Reviewing existing testing procedures and suggesting process improvements as necessary, and ability to explore the use of data for provision of metrics and exception reporting.
  • Working independently while establishing solid relationships within the business. 
  • Contribute to Compliance processes by identifying opportunities for improved adherence to regulatory requirements and improved processes.
  • Other duties as assigned.


Required qualifications:

  • 3+ years of Compliance, Regulatory, Audit, experience within a financial services institution.
  • Strong knowledge of JMLSG, FCA, FATF and of financial crime risk indicators.
  • Strong interpersonal skills and excellent written and oral skills with ability to explain complex matters in simple terms ,and negotiate and convince stakeholders. 
  • A self-starter with the ability to take initiative and work independently.
  • Experienced at working in a fast paced environment and meeting deadlines.
  • Critical thinking skills focused on the effective challenge of business and compliance and controls and procedures.
  • Ability to identify control weaknesses and propose corrective measures. 
  • Good technical skills and data analysis skills. 
  • Experienced in the execution of effective monitoring and testing programs. 
  • Professional Compliance Qualification or degree educated.
  • Fluent written and oral English skills.



What we have to offer you:

  • An amazing work environment in a company that continues to grow, driven by extraordinary and passionate people that keep up innovating and challenging more each day.
  • An international team, in a cutting edge field, working on the most fascinating projects.
  • Growth and career opportunities, and the chance to be proactive and creative.
  • A flexible and enthusiastic work environment that offers you snacks, a lot of coffee and other great benefits.
  • Open and transparent culture - we get together on a weekly basis to share updates, strategic plans, and engage with each other informally over food and drinks.
  • Interesting events that keep you connected with the team and celebrate our success.


Be part of a great company that is revolutionizing the financial services. Apply now!


If this job isn’t exactly what you are looking for, visit our careers page to check out all our exciting opportunities.  


EEOC Employer

We're proud to be an Equal Opportunity Employer and we celebrate our employees' differences, including race, color, religion, gender identity, national origin, age, military service eligibility, veteran status, sexual orientation, marital status, disability, and any other protected classes. Difference makes us stronger and better - together.

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  • Location
    London, London, City of
  • Department
    Compliance
  • Employment Type
    Full-Time
  • Minimum Experience
    Entry-level