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- Tasks: Lead a high-performing compliance team and ensure regulatory adherence for innovative financial products.
- Company: Join a rapidly growing FinTech with exciting prospects, including potential IPO.
- Benefits: Competitive salary, share options, and hybrid working model.
- Why this job: Make a real impact in the FinTech space while developing your career in compliance.
- Qualifications: Extensive compliance experience, especially in Retail Investments and Pensions.
- Other info: Dynamic environment with opportunities for professional growth and collaboration.
The predicted salary is between 43200 - 72000 £ per year.
Overview: Head of Compliance (Retail Pensions & Investments) – London (Hybrid – 2 days in the office, 3 days WFH per week).
Company: Retail Pensions & Investments FinTech. A rapidly growing FinTech with ongoing headlines and a future that may include an IPO. Shares in the business are part of the benefits package.
Responsibilities:
- Lead a small, high-performing team (6 FTE) responsible for Compliance Advice and 2nd line Assurance for all FCA-regulated products (ETFs, ISAs, Pensions, etc.).
- Manage, oversee, and support the team to plan and deliver assurance activities; provide pragmatic compliance advice at pace.
- Carry out broader compliance activities including horizon scanning, regulatory reporting, and training.
- Collaborate with product development teams and prepare the business for transactions (e.g., IPOs or sales) where applicable.
- Provide guidance to ensure compliance with regulatory requirements impacting distribution of investment products (Retail Investments and/or Pensions).
- Report to the Compliance Director (SMF16).
Requirements & Qualifications:
- Extensive experience as a senior compliance professional operating at this level with a proven track record in managing and developing compliance teams.
- Strong experience in a Retail Investments and/or Pensions environment with familiarity with FCA-regulated product distributions (ETFs, ISAs, Pensions, etc.).
- Experience working with product development teams; experience in preparing a business for a transaction (IPO, sale) is advantageous.
Benefits & Other:
- Competitive base pay range (details discussed with recruiter).
- Share in the business as part of the benefits package.
- Location: London, Hybrid working arrangement.
How to Apply:
Click apply. If you don’t have an up-to-date CV, contact Mark for an informal chat or email. We will pick it up from there.
Seniority: Mid-Senior level
Employment Type: Full-time
Head of Compliance (Retail Pensions & Investments) in England 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 Pensions & Investments) in England
✨Tip Number 1
Network like a pro! Reach out to your connections in the FinTech space, especially those in compliance roles. A friendly chat can lead to insider info about job openings or even referrals.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and compliance best practices. We recommend creating a cheat sheet of key points to discuss how your experience aligns with the role's requirements.
✨Tip Number 3
Showcase your leadership skills! Be ready to share examples of how you've successfully managed teams and delivered results in compliance. We love hearing about real-life scenarios that demonstrate your expertise.
✨Tip Number 4
Don’t forget to apply through our website! It’s the easiest way for us to see your application and get you in front of the right people. Plus, it shows you're serious about joining our team!
We think you need these skills to ace Head of Compliance (Retail Pensions & Investments) in England
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Head of Compliance role. Highlight your experience in Retail Investments and Pensions, and don’t forget to showcase your leadership skills and compliance expertise!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for our team. Mention specific experiences that relate to the responsibilities listed in the job description.
Showcase Your Achievements: When detailing your past roles, focus on your achievements rather than just duties. Use metrics where possible to demonstrate how you’ve positively impacted compliance teams or projects.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Willow Resourcing Limited
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of FCA regulations and compliance frameworks relevant to Retail Pensions and Investments. Be ready to discuss specific examples from your past experience where you've successfully navigated compliance challenges.
✨Showcase Your Leadership Skills
As a Head of Compliance, you'll be leading a team. Prepare to share your leadership style and how you've developed high-performing teams in the past. Think of specific instances where your guidance made a difference in compliance outcomes.
✨Be Ready for Scenario Questions
Expect questions that put you in hypothetical situations related to compliance issues. Practice articulating your thought process and decision-making skills in these scenarios, especially around preparing for transactions like IPOs.
✨Collaborate and Communicate
Highlight your experience working with product development teams. Be prepared to discuss how you ensure compliance while fostering collaboration. Share examples of how effective communication has helped bridge gaps between compliance and product development.