Head of Compliance Assurance

InvestEngine Limited; Remote; GBP 70,000 - 90,000; Full time

Job summary

A modern investment company in Greater London seeks a Head of Compliance Assurance. The role involves leading the Compliance Monitoring Programme, ensuring regulatory frameworks are effective. Candidates should have over 8 years in fintech with a strong grasp of FCA regulations. The position offers flexibility and the opportunity to work within a supportive, high-caliber team. This is a chance to make a significant impact from day one while shaping the direction of a growing business.

Benefits

Remote work flexibility

Growth opportunities

Supportive team environment

Qualifications

• 8+ years of experience in fintech and regulated environments.
• Strong knowledge of FCA expectations and frameworks.
• Proven experience designing and executing assurance programmes.

Responsibilities

• Lead the design and delivery of the Compliance Monitoring Programme.
• Plan and execute thematic reviews across various controls.
• Oversee the investigation of regulatory breaches.

Skills

Experience in fintech

Regulatory knowledge

Analytical skills

Attention to detail

Leadership

Job description

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 is 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 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

1. Introductory call with our Talent team
2. Experience deep dive interview with a focus on your competencies
3. Stakeholder interview with Product leadership to assess your commercial acumen and ability to partner effectively in a growth‑focused environment
4. Gamified cognitive assessment to understand how you think and problem solve
5. Senior leadership interview to explore alignment with our culture, values, and strategic direction