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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, innovative team where your contributions directly impact our growth and success.
- 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, growth-oriented workplace rather than a traditional 9-5.
The predicted salary is between 36000 - 60000 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 relevant to fintech. This will not only help you understand the role better but also demonstrate your commitment and knowledge during any discussions.
✨Tip Number 2
Network with professionals in the compliance and fintech sectors. Attend industry events or webinars to connect with others, as personal referrals can often give you an edge in the application process.
✨Tip Number 3
Showcase your analytical skills by preparing examples of how you've successfully handled compliance issues in the past. Be ready to discuss these experiences in detail during interviews to highlight your problem-solving abilities.
✨Tip Number 4
Research InvestEngine's current products and services, and think about how compliance plays a role in their operations. Being able to discuss specific ways you can contribute to their compliance efforts will set you apart from other candidates.
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 grasp the key responsibilities and requirements. Tailor your application to highlight how your experience aligns with the specific tasks mentioned, such as regulatory reporting and compliance monitoring.
Highlight Relevant Experience: Emphasise your 3+ years of experience in compliance roles within financial services. Provide specific examples of your work with regulatory reporting, AML/KYC processes, and any relevant projects that showcase your analytical skills and attention to detail.
Craft a Compelling Cover Letter: Write a cover letter that reflects your enthusiasm for the role and the company. Discuss why you are drawn to InvestEngine and how your proactive approach can contribute to their innovative environment. Make sure to mention your ability to work independently and manage competing priorities.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any spelling or grammatical errors. A polished application demonstrates your attention to detail, which is crucial for a compliance role.
How to prepare for a job interview at InvestEngine
✨Understand the Compliance Landscape
Familiarise yourself with the latest regulations and compliance requirements in the fintech sector. Being able to discuss recent changes or challenges in regulatory frameworks will show your commitment and knowledge in the field.
✨Demonstrate Analytical Skills
Prepare examples from your past experience where you successfully analysed data or compliance issues. Highlight how your attention to detail helped resolve problems or improve processes, as this is crucial for a Compliance Analyst role.
✨Showcase Your Independence
Since the role requires someone who can work independently, be ready to share instances where you managed projects or tasks without much supervision. This will illustrate your self-starting attitude and ability to handle competing priorities.
✨Engage with the Team Spirit
InvestEngine values collaboration, so express your enthusiasm for teamwork. Share experiences where you contributed to team success or worked on cross-functional projects, demonstrating that you can thrive in a small, agile environment.
