Compliance Officer

3 months ago

London UK, UK, United Kingdom InvestEngine Full time

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. No more flutters on crypto or trading away hard-earned cash on yesterday’s biggest tech firm. We are building the platform for real people to make the most of their investments in the right way for them.


About the role


We are looking for an energetic, self-starting 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


  • Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries.
  • Complete necessary sections of Regdata reports and Connect applications as needed.
  • Implement and carry out the Compliance Monitoring programme, including checks on best execution and financial promotions.
  • Update company policies, procedures, and help deliver regulatory training.
  • Stay informed on regulatory changes and integrate this knowledge into company policy.
  • Be passionate about fintech compliance, and be able to use your knowledge and experience to help formulate strategy, propose solutions and manage risk..
  • Help to drive the implementation of compliance controls and processes, ensuring adherence to FCA regulatory Compliance, AML/CTF, and other regulations.
  • Be a collaborative member of the Compliance team to uphold an effective compliance framework.
  • Work across departments, including AML Finance, Risk, Product, Tech, and Sales and Marketing, to maintain compliance standards.
  • Promote a compliance-focused culture with consumer interests at the forefront.
  • Aid in the development of compliance processes that align with business and regulatory demands.
  • Support risk-based compliance programmes that protect consumers and ensure financial crime regulation compliance.
  • Contribute to reports for management and the Board on compliance matters, highlighting any major risks.


What you will need


  • At least 3+ years of directly relevant generalist compliance & 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
  • Be driven and determined to be part of a high-growth start-up team where you will have the opportunity to make a significant impact
  • Knowledge of the FCA handbook, HMRC ISA rules, JMLSG and GDPR guidance
  • To be prepared and be flexible in research through, knowledge and using industry contacts, to find answers where you may not have previous experience
  • The ability to restructure complex problems, making them more manageable, and to assist colleagues — with a service delivery attitude
  • Awareness of the changing regulatory landscape and the curiosity to find opportunities in technology, market developments, though these changes
  • Ideally have obtained or working towards industry qualifications relating to compliance and risk management.


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

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