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For Companies At a Glance
- 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 up to £120k, shares, hybrid work, and comprehensive benefits.
- Why this job: Shape the future of compliance in retail pensions and investments while making a real impact.
- Qualifications: Extensive compliance experience in retail investments or pensions, with team management skills.
- Other info: Join a company that's been making headlines and offers excellent career progression.
The predicted salary is between 96000 - 144000 £ per year.
Job Description
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 that aren't even advertised yet.
✨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 showcase your expertise and how it aligns with the company's goals.
✨Tip Number 3
Don’t just apply; engage! When you submit your application through our website, follow up with a quick email or LinkedIn message to express your enthusiasm. It shows initiative and keeps you on their radar.
✨Tip Number 4
Showcase your leadership skills! Be ready to discuss how you've successfully managed teams in the past. Highlighting your experience in developing compliance strategies will make you stand out as a candidate.
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. Share specific examples of your compliance achievements and how they relate to the responsibilities outlined in the job description. We love a good story!
Showcase Your Regulatory Knowledge: Since this role involves navigating FCA regulations, make sure to highlight your knowledge and experience with these requirements. We’re looking for someone who can hit the ground running, so let us know how you’ve tackled compliance challenges in the past.
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It helps us keep everything organised and ensures your application gets the attention it deserves. Plus, it’s super easy – just a few clicks and you’re done!
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 scenario-based questions that test your problem-solving skills in compliance situations. Practice articulating your thought process and decision-making strategies when faced with regulatory challenges or ethical dilemmas. This will demonstrate your ability to think on your feet.
✨Connect with the Company’s Vision
Research the company’s journey and future plans, especially regarding their potential IPO. Be ready to discuss how your experience aligns with their goals and how you can contribute to shaping the future of compliance within the organisation. Showing enthusiasm for their mission can set you apart.
