Compliance Officer

4 weeks ago


Bristol, Bristol, United Kingdom InvestEngine Full time
About InvestEngine

We are a cutting-edge investment platform in the Fintech space, revolutionizing the way people manage their finances and invest in their future. Our mission is to provide a secure and innovative platform for individuals to make informed investment decisions.

Job Title: Compliance OfficerAbout the Role

We are seeking a highly motivated and experienced Compliance Officer to join our team in the UK. As a key member of our compliance team, you will play a crucial role in ensuring that our business operations are in line with regulatory requirements and industry standards.

Key Responsibilities
  • Assist with day-to-day compliance functions, including financial promotion approvals, complaint resolutions, and transaction reviews.
  • Implement and carry out the Compliance Monitoring programme, including checks on best execution and financial promotions.
  • Update company policies and procedures, and deliver regulatory training to ensure compliance with FCA regulations.
  • Stay informed on regulatory changes and integrate this knowledge into company policy.
  • Collaborate with the Compliance team to uphold an effective compliance framework and promote a compliance-focused culture.
  • Work across departments to maintain compliance standards and ensure adherence to FCA regulatory requirements.
Requirements
  • At least 3+ years of directly relevant generalist compliance and financial crime experience in a buy-side investment firm.
  • Operational knowledge in building and running a compliance program and hands-on knowledge of UK regulatory requirements.
  • Strong analytical and problem-solving skills, with the ability to restructure complex problems and assist colleagues.
  • Knowledge of the FCA handbook, HMRC ISA rules, JMLSG, and GDPR guidance.
  • Ability to work in a fast-paced environment and adapt to changing regulatory requirements.
What We Offer

We offer a dynamic and collaborative work environment, with opportunities for professional growth and development. Our benefits include a flexible work-from-anywhere scheme, support for developmental courses and qualifications, and a competitive salary package.


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