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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 from day one, remote flexibility, and opportunities for growth.
- Why this job: Shape the future of compliance in a fast-paced fintech environment.
- Qualifications: 8+ years in fintech, strong FCA knowledge, and proven assurance programme experience.
- Other info: Collaborative culture with a focus on transparency and problem-solving.
The predicted salary is between 72000 - 108000 ÂŁ 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’ve built a strong foundation, have over £2 billion invested, award‑winning service, and a passionate team, now we’re ready to scale.
About The Role
We’re looking for a Head of Compliance Assurance to join our Compliance team. You’ll 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’s 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’ll 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’ll 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’re 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’re a lean, fast‑moving team that values clarity, ownership, and transparency. You’ll 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’ll 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’ll have opportunities to expand your responsibilities, influence how we work, and help shape our long‑term direction.
- Transparent and open: 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
Seniority level: Executive
Employment type: Full‑time
Job function: Legal
Industries: Investment Management
Head of Compliance Assurance employer: InvestEngine
Contact Detail:
InvestEngine Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance Assurance
✨Tip Number 1
Network like a pro! Reach out to people in the industry, especially those already at InvestEngine. A friendly chat can open doors and give you insider info that could make your application stand out.
✨Tip Number 2
Prepare for interviews by diving deep into compliance topics relevant to the role. Brush up on FCA regulations and think about how your experience aligns with their needs. Confidence is key!
✨Tip Number 3
Showcase your problem-solving skills! Be ready to discuss past experiences where you tackled complex compliance issues. Use specific examples to demonstrate your analytical prowess and attention to detail.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen. 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 Assurance
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 of how you've identified trends or solved complex problems in your previous roles. We love seeing candidates who can think critically and provide actionable insights.
Be Clear and Concise: When writing your application, keep it clear and to the point. Use straightforward language and avoid jargon unless it's relevant to the role. We appreciate clarity, and it helps us understand your thought process better!
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 at InvestEngine!
How to prepare for a job interview at InvestEngine
✨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 topics 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 demonstrate your expertise.
✨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 approach regulatory challenges. This shows your genuine interest in the role and helps you assess if the company aligns with your values and work style.
