About Us:

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. Our goal? Tripling that within a year.

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).

Ready to jump on board?

About The Role:

The Compliance Analyst will support the firm in meeting its regulatory obligations by executing compliance monitoring activities, assisting with regulatory reporting, and supporting broader governance frameworks. The role also involves supporting data protection requirements, managing regulatory communications, and ensuring the firm's policies and controls remain current and effective.

Key Responsibilities:

• 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 regulations
    
  • 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

Technical Skills:

• 3+ years 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 You Can Expect from Us:

Today, we are a small, agile team that sees 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 personally and professionally, we offer an open-minded and flexible environment that can help you grow just as much as you can help us.

• Opportunity for personal and professional growth and achievement is high, and strong performance is rewarded!
• Our Horizontal team structure empowers you to shape your role, take initiative, and grow alongside a passionate team committed to transforming the world of investing.
• We provide a flexible environment with a "work from anywhere” scheme up to 3 months a year
• Opportunities to attend professional conferences to boost your professional development
• Health plans
• Pension contributions