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For Companies At a Glance
- Tasks: Lead a high-performing compliance team and ensure regulatory adherence in retail investments.
- Company: Join one of the UK's top-rated employers with a fantastic culture.
- Benefits: Competitive salary up to £140k, bonus potential, and flexible hybrid working.
- Why this job: Step into a pivotal role with clear career progression and impactful responsibilities.
- Qualifications: Extensive compliance experience in retail savings or investments is essential.
- Other info: Enjoy a dynamic work environment with opportunities for professional growth.
The predicted salary is between 100800 - 140000 £ per year.
Location: London (Hybrid – 2 days office, 3 days WFH per week)
Salary: To £140k + bonus (to 20%)
What’s in it for you?
This is a natural stepping stone into an SMF16 role. There’s a clear path. No waiting for someone to move on, no dead man’s shoes. It’s all part of the plan.
You’ll also be working for a business with a fantastic reputation as an employer; in fact, it’s one of the highest rated employers in the UK, praised for its leadership, its people and its culture. And there’s a flexible working model with just 2 days a week in the firm’s London office.
What you’ll be doing
Reporting into the Compliance Director (SMF16), you’ll lead a small, high-performing team (6 FTE) responsible for Compliance Advice and 2nd line Assurance with regards to all products regulated by the FCA (ETFs, ISAs, Pensions etc.). You’ll take responsibility for all aspects of Compliance activity, managing, overseeing and supporting the team to plan and deliver assurance activities, provide pragmatic advice at pace, and carry out broader Compliance activities including horizon scanning, regulatory reporting, training etc. You’ll also provide independent challenge and input to senior management regarding key business decisions and new product development.
What you’ll need
You’ll be a highly experienced Compliance professional with a proven track record of managing and developing Compliance teams. You’ll have strong experience of working in a Retail Savings and/or Investments environment and will be very familiar with the regulatory requirements impacting the distribution of investment products such as ETFs, ISAs, Pensions etc. You’ll also have a proven track record of working closely with and influencing senior management teams.
Interested? Click apply.
Not got an up to date CV? Don’t worry, you can always give me (Mark) a call on 0121 274 0357 for an informal chat or email me at mark.wilson@willowresourcing.co.uk. We’ll pick it up from there.
Head of Compliance - Retail Investments in City of London employer: Willow Resourcing Limited
Contact Detail:
Willow Resourcing Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance - Retail Investments in City of London
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and retail investments space. A friendly chat can lead to opportunities that aren’t even advertised yet.
✨Tip Number 2
Prepare for those interviews! Research the company’s culture and values, and think about how your experience aligns with their needs. We want you to shine when it’s your turn to impress!
✨Tip Number 3
Showcase your expertise! Bring examples of how you’ve tackled compliance challenges in the past. This will help you stand out as the go-to person for the role.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we’re here to support you every step of the way!
We think you need these skills to ace Head of Compliance - Retail Investments in City of London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Head of Compliance role. Highlight your experience in managing Compliance teams and your familiarity with regulatory requirements in Retail Investments. We want to see how your background aligns with what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Share specific examples of your achievements in Compliance and how they relate to the responsibilities outlined in the job description. We love a good story!
Showcase Your Leadership Skills: Since you'll be leading a small team, it's crucial to demonstrate your leadership skills in your application. Talk about your experience in developing teams and influencing senior management. We want to know how you can inspire others and drive results!
Apply Through Our Website: Don't forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows us that you're keen on joining our fantastic team!
How to prepare for a job interview at Willow Resourcing Limited
✨Know Your Compliance Stuff
Make sure you brush up on the latest FCA regulations and compliance practices relevant to retail investments. Being able to discuss specific products like ETFs, ISAs, and Pensions will show that you're not just familiar with the basics but are genuinely knowledgeable about the field.
✨Showcase Your Leadership Skills
Since you'll be leading a small team, it's crucial to demonstrate your experience in managing and developing compliance teams. Prepare examples of how you've successfully led teams in the past, focusing on your approach to mentoring and supporting team members.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance challenges or regulatory changes. Think through potential scenarios and how you would provide pragmatic advice while ensuring compliance. This will highlight your problem-solving skills and ability to think on your feet.
✨Engage with Senior Management Insights
Since the role involves influencing senior management, be ready to discuss how you've effectively communicated compliance issues to higher-ups in previous roles. Share instances where your input led to significant business decisions or product developments, showcasing your strategic thinking.