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- Tasks: Lead a high-performing compliance team in a dynamic FinTech environment.
- Company: Innovative FinTech with exciting growth and potential IPO on the horizon.
- Benefits: Competitive salary, shares, hybrid work model, and comprehensive benefits.
- Why this job: Shape the future of compliance in a rapidly evolving industry.
- Qualifications: Extensive compliance experience in retail investments or pensions.
- Other info: Join a company making headlines and enjoy excellent career development opportunities.
The predicted salary is between 96000 - 144000 £ 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 at 0121 274 0357 for an informal chat or email mark.wilson@willowresourcing.co.uk. We will pick it up from there.Seniority Mid-Senior levelEmployment Type Full-timeNote: The posting includes standard job alerts and location/time-stamp updates from Willow Resourcing Limited; the content has been cleaned of extraneous boilerplate and non-essential information.
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Head of Compliance (Retail Pensions & Investments) 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)
✨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 a referral.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and compliance best practices. We want you to be ready to impress with your expertise and show how you can lead a high-performing team.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, drop a quick thank-you email to express your appreciation. It keeps you fresh in their minds and shows your enthusiasm for the role.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets seen. Plus, we love seeing candidates who take that extra step to connect with us directly.
We think you need these skills to ace Head of Compliance (Retail Pensions & 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 Retail Investments and Pensions, and don’t forget to showcase any leadership roles you've had. We want to see how you can bring your expertise to our team!
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 and how your background aligns with our exciting future. We love a bit of personality, so let your passion for compliance and FinTech come through!
Showcase Relevant Experience: When filling out your application, make sure to highlight your experience with FCA regulations and compliance activities. We’re looking for someone who can hit the ground running, so any specific examples of your past work will really help us see your potential.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to keep track of your application and ensures you don’t miss out on any important updates. Plus, it shows us you’re keen to join our innovative 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 standards relevant to retail pensions and investments. Being able to discuss specific regulations and how they impact the business will show that you're not just familiar with the role, but that you're genuinely passionate about compliance.
✨Showcase Your Leadership Skills
As a Head of Compliance, you'll be leading a team. Prepare examples of how you've successfully managed and developed teams in the past. Think about challenges you've faced and how you overcame them, as well as how you foster a positive team environment.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance scenarios or regulatory challenges. Practise articulating your thought process and decision-making skills in these situations, as it will demonstrate your ability to provide pragmatic advice at pace.
✨Understand the Business's Future
Research the company’s journey and their plans for an IPO. Be ready to discuss how you can contribute to this exciting phase. Showing that you understand their vision and how compliance plays a crucial role in achieving it will set you apart from other candidates.
