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For Companies At a Glance
- Tasks: Lead compliance assurance and ensure regulatory frameworks are effective and sustainable.
- Company: Join InvestEngine, a modern investment platform with a passionate team.
- Benefits: Impactful work, growth opportunities, remote flexibility, and a supportive culture.
- Why this job: Make a real difference in compliance while working with talented professionals.
- Qualifications: 8+ years in fintech, strong FCA knowledge, and experience in assurance programmes.
- Other info: Dynamic environment with room for innovation and collaboration.
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 Assurance to join our Compliance team. You will be responsible for providing independent, expert oversight of regulatory compliance across the business, ensuring our frameworks, controls, and outcomes are effective, sustainable, and fully defensible to the FCA. This role is ideal for someone who is confident operating with independence and authority, comfortable with complexity, and motivated by building robust assurance that supports both regulatory confidence and strong customer outcomes.
You will work closely with Product, Operations, Data, Risk, Advisory, and Financial Crime teams, and have the autonomy to own assurance activities end to end — from planning and testing through to governance reporting and validation of long-term fixes.
What You Will Do
- Lead the design, ownership, and delivery of the Compliance Monitoring Programme (CMP), ensuring timely completion and high-quality, actionable outputs.
- Plan and execute thematic reviews across areas such as suitability, product governance (PROD), financial promotions, and operational controls.
- Provide independent pre- and post-implementation assurance over change initiatives, validating control effectiveness before and after launch.
- Oversee the identification, investigation, and root-cause analysis of regulatory breaches and control weaknesses in partnership with the Risk function.
- Own and manage complex remediation programmes (for example, suitability or data rectification exercises), ensuring clear governance, evidence standards, and sustainable outcomes.
- Deliver Consumer Duty assurance, including outcomes testing, oversight of key metrics, and assessment of customer impact.
- Produce clear, risk-based assurance MI for ExCo, the Risk Committee, and the Board.
- Build and maintain automated dashboards to track issue status, assurance findings, and progress of corrective actions.
- Validate that fixes are fully embedded and operating effectively before transition into BAU.
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).
- Strong knowledge of FCA expectations and frameworks, including Consumer Duty, suitability, DISP, and product governance.
- Proven experience designing and executing assurance or monitoring programmes with robust testing methodologies and evidence standards.
- Ability to lead complex, multi-phase programmes involving investigation, analysis, coordination, and delivery across multiple teams.
- Experience overseeing complex corrective action programmes (e.g., suitability or data rectification), including root-cause analysis, end-to-end documentation, and FCA-defensible evidence standards.
- Strong analytical skills with exceptional attention to detail and the ability to identify trends and root causes.
- English fluency (C1 level and above) — we are a UK-based company, and the role involves regular communication with the team.
Nice to Have
- 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 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 Assurance 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 Assurance 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 friendly chat can lead to insider info about roles that might not even be advertised yet.
✨Tip Number 2
Prepare for those interviews by researching the company inside out. Understand their compliance frameworks and recent news. This will help you showcase your knowledge and passion for the role, making you stand out as a candidate.
✨Tip Number 3
Practice your pitch! Be ready to explain how your experience aligns with the responsibilities of the Head of Compliance Assurance. Highlight your past successes in compliance monitoring and assurance programmes to show you’re the right fit.
✨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 our team at InvestEngine.
We think you need these skills to ace Head of Compliance Assurance in London
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter to highlight your experience in fintech and regulatory environments. We want to see how your skills align with the role of Head of Compliance Assurance, so don’t hold back on showcasing your relevant achievements!
Showcase Your Analytical Skills: Since this role requires strong analytical skills and attention to detail, include examples in your application that demonstrate how you've identified trends or solved complex problems in previous roles. We love seeing how you think critically!
Be Clear and Concise: When writing your application, keep it clear and to the point. Use straightforward language and structure your thoughts logically. We appreciate clarity, and it’ll help us understand your qualifications better!
Apply Through Our Website: Don’t forget to submit your application through our website! It’s the best way for us to receive your details and ensures you’re considered for the role. Plus, it’s super easy to do!
How to prepare for a job interview at InvestEngine Limited
✨Know Your Compliance Stuff
Make sure you brush up on FCA expectations and frameworks, especially around Consumer Duty and product governance. Being able to discuss these confidently will show that you're not just familiar with the regulations but can also apply them effectively.
✨Showcase Your Analytical Skills
Prepare examples of how you've used your analytical skills to identify trends or root causes in past roles. This is crucial for the Head of Compliance Assurance position, so having specific instances ready will help you stand out.
✨Demonstrate Leadership Experience
Be ready to talk about your experience leading complex programmes and how you’ve managed cross-team collaborations. Highlighting your ability to coordinate and deliver results will resonate well with the interviewers.
✨Ask Insightful Questions
Prepare thoughtful questions about the company's compliance culture and how they measure success in assurance activities. This shows your genuine interest in the role and helps you gauge if the company aligns with your values.
