Sr Compliance Monitoring Officer

InvestEngine makes investing simple, smart, and accessible. We help you grow your money with ETFs — no hassle, no jargon. 80,000 investors have trusted us with £1 billion, and we’re just getting started.

We’re not just another investment platform — we’re redefining the game with our powerful investing tools designed for everyone, whether you’re just starting or scaling up. Recognised in top industry awards and growing fast (MoneyWeek Readers\’ Choice Awards Winners – 2024, Nuts About Money, Finder, Forbes).

About the role

We are seeking a Compliance Monitoring Officer to join our growing team and take charge of ensuring the business adheres to all relevant regulatory requirements. In this role, you will be responsible for monitoring compliance across key areas, conducting assessments, and ensuring we meet both internal and external expectations. You’ll work closely with other departments to ensure compliance standards are upheld across the business.

What You’ll Do

Core Responsibilities:

• Lead the Compliance Monitoring Programme, conducting assessments and audits on key areas such as financial promotions, transaction monitoring, and onboarding.
• Execute thematic reviews of key business functions to ensure compliance with the FCA regulations, industry standards, and internal policies.
• Support the production of regular compliance reports for senior management and regulatory bodies, highlighting risks, issues, and providing actionable recommendations for improvement.
• Provide guidance and advice to internal teams on compliance risks and best practices for mitigating non-compliance.
• Monitor and ensure the correct execution of financial promotions, ensuring marketing and communications meet regulatory standards.
• Keep up to date with any regulatory changes and integrate these into compliance practices.
• Assist in identifying and mitigating financial crime risks, working closely with the AML team to maintain robust processes.

Supporting Functions:

• Work cross-functionally with departments such as Product, Tech, and Marketing to ensure compliance is integrated into everyday business processes.
• Assist with the development and updating of company policies to reflect regulatory changes.
• Engage in delivering training and awareness sessions to internal stakeholders on compliance matters, ensuring that all teams are up to speed on the latest requirements.

What You’ll Need

• A minimum of 3 years’ experience in a compliance monitoring role within a financial services or fintech environment.
• Experience with FCA regulations and compliance monitoring processes.
• Strong attention to detail, with the ability to conduct thorough reviews and make practical recommendations.
• Excellent written and verbal communication skills, with experience reporting to senior management and regulatory bodies.
• A proactive attitude, with the ability to identify areas for improvement and implement solutions effectively.
• Ideally, qualifications related to compliance, financial regulation, or risk management.

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
• Health plans
• Pension contributions