At a Glance
- Tasks: Lead a high-performing compliance team and oversee regulatory activities in retail investments.
- Company: Join one of the UK's highest-rated employers with a fantastic reputation.
- Benefits: Competitive salary up to £140k, bonus potential, and flexible hybrid working.
- Other info: Enjoy a dynamic work culture with opportunities for professional growth.
- Why this job: Step into a pivotal role with clear career progression and impactful responsibilities.
- Qualifications: Extensive compliance experience in retail savings or investments and strong leadership skills.
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 employer: Willow Resourcing Limited
Join a highly esteemed employer in the heart of London, where you will benefit from a clear career progression path towards an SMF16 role, alongside a competitive salary and bonus structure. With a flexible hybrid working model and a strong emphasis on leadership and team culture, this company is dedicated to fostering employee growth and satisfaction, making it an ideal place for compliance professionals looking to make a meaningful impact.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance - Retail Investments
✨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 insider info about job openings or even a referral, which can give you a leg up in the application process.
✨Tip Number 2
Prepare for interviews by researching the company culture and values. Since this role is all about leading a high-performing team, think about how you can demonstrate your leadership style and how it aligns with their ethos during the interview.
✨Tip Number 3
Showcase your expertise! Be ready to discuss specific compliance challenges you've faced in the past and how you tackled them. This will highlight your problem-solving skills and experience in the retail investments sector.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen. Plus, if you have any questions, feel free to reach out to Mark for a chat – he’s there to help you navigate the process.
We think you need these skills to ace Head of Compliance - Retail Investments
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 FCA regulations. 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.
Showcase Your Leadership Skills:Since you'll be leading a high-performing team, it's crucial to demonstrate your leadership skills in your application. Talk about your experience in developing teams and influencing senior management. We love seeing candidates who can inspire others!
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 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, be prepared to share examples of how you've successfully managed and developed compliance teams in the past. Highlight your ability to provide pragmatic advice and support your team in delivering assurance activities.
✨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 approach them, demonstrating your critical thinking and problem-solving skills.
✨Engage with Senior Management Insights
Since the role involves influencing senior management, come ready to discuss how you've effectively communicated compliance issues and provided independent challenge in previous roles. This will show that you can navigate the complexities of business decisions while keeping compliance at the forefront.
