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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 required.
- Other info: Join a collaborative team and enjoy excellent career development opportunities.
The predicted salary is between 96000 - 144000 £ per year.
Head of Compliance (Retail Pensions & Investments)
Retail Pensions & Investments FinTech
Location: London (Hybrid – 2 days office, 3 days WFH per week)
Salary: To £120k + shares + benefits
This innovative FinTech has made headlines for all the right reasons over the last 7 years. It’s been a really exciting journey so far and they’ve got an even more exciting future ahead. This is your chance to help shape that future.
It\’s looking increasingly likely that that future will include an IPO in the not too distant future.
And you\’ll have shares in the business as part of your benefits package.
Talk about a fantastic time to join!
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 be a highly experienced Compliance professional experienced at operating at this level, with a proven track record of managing and developing Compliance teams.
You’ll have strong experience of working in a Retail Investments and/or Pensions environment and will be very familiar with the regulatory requirements impacting the distribution of investment products such as ETFs, ISAs, Pensions etc.
Previous experience of working with product development teams would be advantageous as would any experience of preparing a business for a transaction (an IPO, a business sale etc.).
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 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 a follow-up! After an interview, drop a quick thank-you email to express your appreciation and reiterate your enthusiasm for the role. It keeps you fresh in their minds!
✨Tip Number 4
Apply through our website for a smoother process! It’s the best way to ensure your application gets the attention it deserves. Plus, we love seeing candidates who are proactive about their job search.
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 good story, so make it engaging and personal!
Showcase Your Compliance Knowledge: In your application, be sure to demonstrate your understanding of FCA regulations and compliance activities. We’re looking for someone who can hit the ground running, so let us know how you’ve navigated these waters before.
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. Plus, it’s super easy!
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 related to retail pensions and investments. Being able to discuss specific regulatory requirements and how they impact product distribution will show that you're not just familiar with the field, but that you’re also passionate about it.
✨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 high-performing environment.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance scenarios or challenges. Practise articulating your thought process and decision-making skills. This is your chance to demonstrate your ability to provide pragmatic advice at pace, which is crucial for this role.
✨Understand the Company’s Future
Research the company’s journey and their plans for an IPO. Be ready to discuss how you can contribute to shaping that future, especially in terms of compliance activities. Showing that you’re aligned with their vision will set you apart from other candidates.
