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For Companies At a Glance
- Tasks: Lead compliance advisory, providing regulatory guidance and developing a high-performing team.
- Company: Join InvestEngine, a modern investment platform with a strong foundation and passionate team.
- Benefits: Impactful work, growth opportunities, remote flexibility, and a supportive culture.
- Why this job: Shape compliance strategies while ensuring innovation meets regulatory standards.
- Qualifications: 8+ years in fintech, strong FCA skills, and experience leading compliance teams.
- Other info: Collaborative environment focused on clarity, ownership, and problem-solving.
The predicted salary is between 72000 - 108000 £ per year.
About InvestEngine
InvestEngine is everything the modern investor should need. Unbeatable value, market-leading automation, and built for easy, long-term investing. We have built a strong foundation, have over £2 billion invested, award-winning service, and a passionate team, now we are ready to scale.
About the Role
We are looking for a Head of Compliance Advisory to join our Compliance team. You will be working on leading InvestEngine's compliance advisory function — providing real-time regulatory guidance across teams and ensuring we innovate safely while meeting FCA expectations and strong customer outcomes. You will also lead and develop a team of compliance advisors, setting clear standards for quality, consistency, and responsiveness.
This role is ideal for someone who is pragmatic, customer‐centric, and confident using expert judgement, with the ability to translate regulatory requirements into clear, actionable guidance in a fast‐moving environment.
You will work closely with Product Managers, Operations leads, Marketing, Investments, Treasury, Legal, and senior stakeholders, and have the autonomy to shape advisory approaches end to end — from early‐stage change input and financial promotions oversight to training and compliance culture uplift.
What You Will Do
- Lead the compliance advisory function, setting standards for quality, consistency, prioritisation, and delivery across the business.
- Provide timely and actionable regulatory advice within agreed SLAs to enable compliant decision‐making at pace.
- Advise Product, Operations, Marketing, Investments, and Treasury on regulatory risks across customer journeys, onboarding, suitability, and communications.
- Guide complex complaint scenarios and escalation points, ensuring responses meet DISP and Consumer Duty expectations.
- Partner with teams early in change initiatives to identify regulatory risks before build and reduce downstream remediation.
- Develop and coach a team of compliance advisors, building capability and reinforcing a strong compliance culture.
What We Are Looking For
- 8+ years of experience in fintech and regulated environments, with retail investor sector experience (e.g., investment platforms, wealth/investing products), and senior‐level compliance advisory responsibility.
- Proven experience leading or managing a compliance advisory team, setting standards and direction.
- Strong FCA regulatory interpretation skills, translating rules and guidance into evidence‐based advice.
- Deep expertise in Consumer Duty, customer communications, and conduct risk — including DISP‐compliant complaints advisory.
- Extensive experience overseeing financial promotions and influencer/finfluencer activity, aligned with FCA expectations, COBS, and internal policy.
- Excellent communication and stakeholder management skills, with the ability to influence effectively across different levels of the organisation.
- Strong delivery focus and prioritisation skills, managing workload and team capacity to consistently meet agreed SLAs and business priorities.
- English fluency (C1 level and above) — we are a UK‐based company, and the role involves regular communication with the team.
Nice to Have
- Experience delivering practical, engaging compliance training for frontline teams.
- Background in high‐growth start‐ups.
How We Work
We are a lean, fast‐moving team that values clarity, ownership, and transparency. You will have the freedom to experiment, the responsibility to follow through, and the backing of a team that values clear thinking and open dialogue. We believe in solving problems at the root, not just treating the symptoms.
What We Offer
- Impact from day one: You will take on meaningful work from the start, tackling real challenges that drive the stability, efficiency, and growth of our business.
- Room to grow: As we scale, you will have opportunities to expand your responsibilities, influence how we work, and help shape our long‐term direction.
- Transparent and open culture: We share decisions openly, keep communication channels clear, and encourage collaboration across every part of the business.
- Supportive, high‐calibre team: Work alongside talented professionals who are experts in their fields — smart, driven, and generous with their knowledge.
- Remote first and flexible: Work in the way that best suits you. We focus on results, not rigid hours, and trust you to manage your time effectively.
Our Hiring Process
- Introductory call with our Talent team.
- Experience deep dive interview with a focus on your competencies.
- Stakeholder interview with Marketing and Product leadership to assess your commercial acumen and ability to partner effectively in a growth‐focused environment.
- Gamified cognitive assessment to understand how you think and problem‐solve.
- Senior leadership interview to explore alignment with our culture, values, and strategic direction.
Head of Compliance Advisory in London employer: InvestEngine Limited
Contact Detail:
InvestEngine Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance Advisory in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the fintech space and let them know you're on the lookout for opportunities. A personal recommendation can go a long way in landing that dream role.
✨Tip Number 2
Prepare for those interviews by researching InvestEngine inside out. Understand their compliance culture and be ready to discuss how your experience aligns with their needs. Show them you’re not just another candidate!
✨Tip Number 3
Practice your pitch! You’ll want to clearly articulate your experience in compliance advisory and how it can benefit InvestEngine. Keep it concise, engaging, and relevant to the role.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you’re genuinely interested in being part of the InvestEngine team.
We think you need these skills to ace Head of Compliance Advisory in London
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter for the Head of Compliance Advisory role. Highlight your experience in fintech and compliance, and show how your skills align with our needs at InvestEngine.
Showcase Your Leadership Skills: Since this role involves leading a team, don’t forget to emphasise your leadership experience. Share examples of how you've developed teams and set standards in previous roles to demonstrate your capability.
Be Clear and Concise: When writing your application, keep it straightforward. Use clear language to convey your regulatory expertise and how you can provide actionable advice. We appreciate clarity as much as you do!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at InvestEngine Limited
✨Know Your Regulations
Make sure you brush up on FCA regulations and Consumer Duty principles before the interview. Being able to discuss how these apply to InvestEngine's operations will show that you're not just familiar with compliance, but that you can also translate complex rules into actionable advice.
✨Showcase Your Leadership Skills
Prepare examples of how you've successfully led a compliance advisory team in the past. Highlight your ability to set standards and develop team members, as this role requires strong leadership to build a robust compliance culture.
✨Understand the Business
Research InvestEngine thoroughly. Understand their products, services, and market position. This knowledge will help you tailor your responses and demonstrate how your compliance strategies can support their growth and innovation goals.
✨Prepare for Stakeholder Engagement
Think about how you would approach working with various teams like Product, Marketing, and Operations. Be ready to discuss how you would provide timely regulatory advice and manage stakeholder relationships effectively, ensuring compliance is integrated into all aspects of the business.
