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- Tasks: Join us as a Compliance Analyst, tackling regulatory challenges and ensuring compliance in a dynamic fintech environment.
- Company: InvestEngine is a cutting-edge investment platform revolutionising how people manage their money.
- Benefits: Enjoy hybrid working, a 'work from anywhere' scheme, and support for your professional development.
- Why this job: Be part of a small, agile team where your contributions directly impact growth and innovation.
- Qualifications: 3+ years in compliance within financial services, with strong analytical skills and attention to detail required.
- Other info: Ideal for self-starters seeking a flexible, collaborative workplace focused on personal and professional growth.
The predicted salary is between 28800 - 48000 ÂŁ per year.
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
Compliance Analyst (Hybrid or Remote) employer: InvestEngine
Contact Detail:
InvestEngine Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Analyst (Hybrid or Remote)
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance standards. This will not only help you understand the role better but also show your potential employers that you're proactive and knowledgeable about the industry.
✨Tip Number 2
Network with professionals in the fintech space, especially those working in compliance roles. Attend industry events or webinars to make connections and gain insights into what companies like InvestEngine are looking for in candidates.
✨Tip Number 3
Demonstrate your analytical skills by preparing examples of how you've successfully handled compliance issues in the past. Be ready to discuss specific scenarios during interviews to showcase your problem-solving abilities.
✨Tip Number 4
Research InvestEngine's products and services thoroughly. Understanding their offerings will allow you to tailor your discussions and show how your compliance expertise can directly contribute to their growth and success.
We think you need these skills to ace Compliance Analyst (Hybrid or Remote)
Some tips for your application 🫡
Understand the Role: Read the job description thoroughly to understand the key responsibilities and requirements for the Compliance Analyst position. Tailor your application to highlight relevant experience and skills that align with what InvestEngine is looking for.
Highlight Relevant Experience: In your CV and cover letter, emphasise your 3+ years of experience in compliance roles within financial services. Be specific about your involvement in regulatory reporting, monitoring activities, and familiarity with AML/KYC processes.
Showcase Analytical Skills: Demonstrate your strong attention to detail and analytical skills in your application. Provide examples of how you've successfully managed competing priorities or resolved compliance issues in previous roles.
Personalise Your Cover Letter: Craft a personalised cover letter that reflects your enthusiasm for the role and the company. Mention why you are drawn to InvestEngine's innovative approach in the fintech space and how you can contribute to their growth.
How to prepare for a job interview at InvestEngine
✨Know Your Compliance Regulations
Make sure you brush up on the latest FCA regulations and compliance standards relevant to the fintech industry. Being able to discuss these confidently will show that you're not just familiar with the role but also passionate about compliance.
✨Demonstrate Analytical Skills
Prepare examples from your past experience where you've successfully analysed data or regulatory changes. Highlighting your analytical skills will be crucial, as this role requires a strong attention to detail and the ability to assess business impacts.
✨Show Enthusiasm for Growth
InvestEngine values personal and professional growth. Be ready to discuss how you’ve taken initiative in your previous roles and how you plan to contribute to the team’s development. This will resonate well with their culture of collaboration and innovation.
✨Prepare for Scenario Questions
Expect scenario-based questions that test your problem-solving abilities in compliance situations. Think of specific instances where you handled compliance issues or regulatory breaches, and be prepared to explain your thought process and outcomes.
