Job Description
We are InvestEngine, an exciting new investment platform in the Fintech space looking to change the way people look after their money and invest in their future.
InvestEngine is everything the modern investor should need. Unbeatable value, market leading automation and built for easy, long-term ETF investing. We’ve got the platform, have a billion pounds AUM, we’ve won awards, we’ve got an excellent team and we’re hugely popular in the industry.
About the role
We are looking for an energetic, self-starting Senior Compliance Officer to join our team in the UK. The position will require an individual that wants to get stuck in with all areas of compliance in a growing, innovative fintech business.
You will assist with day-to-day compliance functions, advise the business on regulatory and financial crime matters and form part of project groups in building and delivering new products and propositions.
As a small but growing team, we’ll want you to actively participate in all aspects of the business and develop into an SME owning multiple areas of compliance.
What you’ll do
Regulatory & Compliance Reporting
* Prepare and submit Regulatory Reporting in line with FCA and other regulatory requirements
* Conduct ARM (Approved Reporting Mechanism) Reporting Checks
* Produce Compliance Reporting and MI Packs for senior management and board committees
* Conduct Horizon Scanning to identify emerging regulatory changes and assess business impact
Monitoring & Assurance
* Maintain the Compliance Monitoring Plan
* Execute Compliance Monitoring and 2nd Line Assurance reviews
* Respond to and investigate Ad-hoc Alerts and issues as they arise
Governance & Controls
* Support regular Policy Reviews to maintain alignment with current regulation
* Assist with tracking and resolution of Incidents and Regulatory Breaches
Data Protection & Financial Crime
* Act as a DPO Assistant, supporting GDPR compliance and data protection queries
* Conduct PEP & Sanctions Screening, including alert review and clearing
Marketing, Conduct & Complaints
* Review and approve Financial Promotions in line with regulatory standards
* Assist in Complaints Handling, ensuring proper documentation, resolution, and root cause analysis
What you will need
* 3+ years of experience in a compliance role within financial services
* Experience in regulatory reporting and monitoring activities
* Familiarity with AML/KYC processes and data protection principles
* Strong attention to detail and analytical skills
* Ability to work independently and manage competing priorities
What we offer
Today we are a small, agile team that see collaboration as the best way to take InvestEngine forward. If you want a structured, 9-5 with a set list of “To-Dos” then to be honest, InvestEngine probably isn’t the place for you. But if growth means a lot to you, both personal and professionally, we offer an open-minded and flexible environment that can help you grow just as much as you can help us.
Our other benefits include:
* Hybrid working
* “work from anywhere” scheme – work up to 3 months overseas
* Support for developmental courses and qualifications