Compliance Manager

Compliance Manager 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 £2.5 billion invested, award-winning service, and a passionate team, now we’re ready to scale. About the Role We’re looking for a Compliance Manager to join our Compliance team. You’ll play a key role in ensuring the firm meets its regulatory obligations by delivering compliance monitoring activities, completing compliance and thematic reviews, providing regulatory advice, and supporting the firm’s broader governance frameworks. This is a broad and impactful individual contributor role, ideal for someone who combines strong regulatory knowledge with sound judgement, attention to detail, and a practical approach to problem-solving. You’ll work closely with stakeholders across Operations, Customer Support, Product, Development, Marketing, Investments, Treasury, and Risk to help embed a culture of compliance throughout the firm. This collaboration ensures that regulatory expectations are understood, practical controls are integrated into business processes, and compliance is viewed as an enabler of sustainable growth rather than a constraint. Success in this role requires the ability to balance regulatory rigour with commercial pragmatism — applying sound judgement to interpret regulations in a way that upholds standards while supporting the firm’s strategic objectives. From financial promotions and complaints advice to breach oversight, data protection, and regulatory change, you’ll help ensure our policies, procedures, and controls remain effective, up to date, and aligned with FCA expectations. A continuous improvement mindset is essential, driving regular review and enhancement of policies, monitoring frameworks, and reporting processes to reflect evolving regulations and business priorities. Equally, proactive communication — both within the Compliance team and across the wider business — is key to ensuring transparency, fostering collaboration, and promoting early identification and resolution of compliance risks. What You’ll Do Deliver compliance monitoring activities and thematic reviews on schedule, producing clear findings, actionable follow-up points, and robust documentation. Review and oversee financial promotions and influencer activity, ensuring all communications meet FCA requirements and internal standards within agreed service levels. Provide timely, practical regulatory advice to teams across Product, Operations, Marketing, Investments, Treasury, and other business areas to support compliant decision-making. Support breach oversight and investigations in partnership with the Risk function, including root cause analysis, trend analysis, and remediation tracking. Maintain and enhance policies, procedures, controls, and governance frameworks, including support for data protection monitoring, incident follow-up, and annual policy reviews. Contribute compliance input into change initiatives and regulatory change assessments, helping identify risks early and reduce downstream remediation. What We’re Looking For 5+ years of experience in a compliance role within financial services or another regulated environment. Strong understanding of FCA regulatory expectations, including Consumer Duty, DISP, COBS, financial promotions, and client outcomes. Excellent attention to detail and analytical skills, with the ability to assess data, documentation, incidents, and reports thoroughly and accurately. Strong prioritisation and workflow management skills, with the ability to manage a varied workload and deliver to deadlines and service levels. Confident communicator who can provide clear, practical, and commercially balanced regulatory advice to a range of stakeholders. A continuous improvement mindset, with the ability to strengthen policies, monitoring frameworks, and reporting processes in line with evolving regulatory and business needs. Nice to Have Experience supporting remediation activity, assurance work, or issue resolution programmes in a regulated environment. Familiarity with data protection governance, policy reviews, and regulatory communications. Experience contributing to regulatory change assessments, governance forums, or control improvement initiatives. 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 culture 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 Gamified cognitive assessment to understand how you think and problem-solve Competency interview focused on your experience (may include a short task or case study) Senior leadership interview to explore alignment with our culture, values, and strategic direction Department Compliance Locations London Remote status Hybrid About InvestEngine InvestEngine is an award‑winning, industry‑leading investment platform that champions the use of exchange‑traded funds (ETFs). We are a team of industry experts with a passion for building great investment products. A powerful investment solution, we think everyone could benefit from using ETFs as a part of their financial strategy. Founded in 2016 Co-workers 150