Head of Compliance

London, UK

Company Description

At Octopus, we’re entrepreneurs and we’re investors, on a mission to back the people, ideas and industries that will change the world.  

We think working here is great, but we’re understandably bias. Click here to explore Life at Octopus. 

Job Description

About the Role

What’s in it for you? 

As an investment manager, Octopus Investments operates in both retail and institutional markets, across a wide range of asset classes. The role will enable you to get a wide range of exposure to different compliance topics and a range of stakeholders in the business.  

Working within Compliance at Octopus gives you the freedom and opportunity to use your commerciality in making an impact and driving change, whilst leading a team that partners with the business to find solutions that support our ambitious growth plans. It will be a challenging fast paced environment where you will learn rapidly and be forced to prioritise different tasks, but you will never be bored! 

The team: 

The compliance team has a number of experienced individuals who are fun to work with and provide pragmatic and commercial solutions to the business while protecting the business and keeping it safe. In addition, you will sit within the wider Risk & Compliance function of around 40 who are a very visible and central business unit that operates more commercially and collaboratively than in many other regulated organisations. 

What will you be doing? 

  • Providing timely and accurate compliance advice and solutions to support the business’ growth objectives and protect our existing business, whilst developing and maintaining all necessary compliance policies and procedures. 

  • Protect what we have - Sharing your knowledge and providing constructive challenge to the way we do things currently, helping the business and the compliance team to manage Octopus’ compliance risk in the most efficient way, as well monitoring regulatory developments and assisting the business in the implementation of regulatory change. 

  • Providing the business with engaging, practical compliance training which focuses on what people need to know to perform their role compliantly.

  • Taking the lead in identifying, assessing and reporting on compliance risks, escalating issues to Senior Management.

  • Lead the Compliance team, by delivering at pace, providing alternative solutions, while leading on and managing compliance support to the business. 

  • Granting formal compliance approval for financial promotions, personal account dealing, gifts and benefits, outside appointments etc. In due course taking on the SMF16 function. 


✅ 5-10 years Investment Management Advisory Compliance Experience. Ideally with exposure to retail investments, but willing to consider other exceptional candidates. 

✅ The skillset to be an amazing leader and people manager, who can engage with all different stakeholders across the business. 

✅ Technical knowledge that includes Investment management services (e.g. discretionary managed portfolios, funds etc), MIFID, including all COBS requirements, Product Governance Requirements for manufacturers, Market abuse requirements. 

✅ A keen interest in FCA regulatory developments, proactively keeping up to date with these 

We encourage you to apply even if you don’t tick every box. What’s the worst that can happen? 

This role will evolve as we grow and develop. So, if you are looking for a challenge in a fast paced and dynamic business, we can deliver on that. 

Additional Information

What we offer

💰 A competitive salary, bonus, pension and share incentive plan
✈️ Untracked holiday
🏡 Hybrid working – most of our people spend 3 days per week in the office
⚓ Anchor (our wellness hub) which includes Headspace, one to one coaching through Wellness Cloud, Digital GP, Shout & more
👪 Up to 6 months paid parental leave regardless of gender
❤️ Life insurance, critical illness cover and income protection
🏥 Private medical insurance for you and your family
🚗 Electric vehicle leasing
🌍 The option to work overseas up to a month per year

Our Values 
At our core, we believe that how a company behaves is just as important as what it does. That’s why we chose to become an accredited B Corp (the equivalent of a Fairtrade coffee stamp but for companies) and to change our Articles of Association so that the interests all our stakeholders – employees, customers, communities, environment and shareholders – are considered in every decision we make.   

We’re committed to creating a diverse and inclusive employee experience for all. We promote equal opportunities for growth and development regardless of race, gender, religion, sexual orientation, age, disability, or socio-economic background. We believe strongly that teams are at their best when every member of the team feels safe to bring their whole self to work.