Head of Compliance Advisory

InvestEngine Limited; Remote; GBP 90,000 - 120,000; Full time

Job summary

A financial services firm in Greater London is seeking a Head of Compliance Advisory to lead its compliance function. This role requires an individual with over 8 years of experience in fintech, especially within the retail investor sector. The successful candidate will provide regulatory guidance across teams, develop a compliance culture, and manage a compliance advisory team. The position offers a remote-first, flexible work environment and opportunities for growth and personal development.

Benefits

Impactful work from day one

Room to grow

Transparent culture

Supportive team

Flexible working hours

Qualifications

• Experience leading a compliance advisory team.
• Expertise in Consumer Duty and conduct risk.
• Experience overseeing financial promotions.

Responsibilities

• Lead the compliance advisory function across the business.
• Provide regulatory advice to various teams.
• Guide complex complaint scenarios in compliance.

Skills

FCA regulatory interpretation skills

Excellent communication

Stakeholder management

Delivery focus

English fluency (C1 level)

Education

8+ years of experience in fintech

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 Advisory to join our Compliance team. You’ll be working on leading the InvestEngine's compliance advisory function — providing real-time regulatory guidance across teams and ensuring we innovate safely while meeting FCA expectations and strong customer outcomes. You’ll also lead and develop a team of compliance advisors, setting clear standards for quality, consistency, and responsiveness.

This role is ideal for someone who’s pragmatic, customer-centric, and confident using expert judgement, with the ability to translate regulatory requirements into clear, actionable guidance in a fast-moving environment.

You’ll work closely with Product Managers, Operations leads, Marketing, Investments, Treasury, Legal, and senior stakeholders, and have the autonomy to shape advisory approaches end to end — from early-stage change input and financial promotions oversight to training and compliance culture uplift.

What You’ll Do

• Lead the compliance advisory function, setting standards for quality, consistency, prioritisation, and delivery across the business

• Provide timely and actionable regulatory advice within agreed SLAs to enable compliant decision-making at pace

• Advise Product, Operations, Marketing, Investments, and Treasury on regulatory risks across customer journeys, onboarding, suitability, and communications

• Guide complex complaint scenarios and escalation points, ensuring responses meet DISP and Consumer Duty expectations

• Partner with teams early in change initiatives to identify regulatory risks before build and reduce downstream remediation

• Develop and coach a team of compliance advisors, building capability and reinforcing a strong compliance culture

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), and senior-level compliance advisory responsibility

• Proven experience leading or managing a compliance advisory team, setting standards and direction

• Strong FCA regulatory interpretation skills, translating rules and guidance into evidence-based advice

• Deep expertise in Consumer Duty, customer communications, and conduct risk — including DISP-compliant complaints advisory

• Extensive experience overseeing financial promotions and influencer/finfluencer activity, aligned with FCA expectations, COBS, and internal policy

• Excellent communication and stakeholder management skills, with the ability to influence effectively across different levels of the organisation

• Strong delivery focus and prioritisation skills, managing workload and team capacity to consistently meet agreed SLAs and business priorities

• English fluency (C1 level and above) — we are a UK-based company, and the role involves regular communication with the team

Nice to Have

• Experience delivering practical, engaging compliance training for frontline teams

• 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 Marketing and 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