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- Tasks: Lead a high-performing compliance team in a dynamic FinTech environment.
- Company: Innovative FinTech with a bright future and potential IPO.
- Benefits: Competitive salary, shares, hybrid work, and comprehensive benefits.
- Why this job: Shape the future of compliance in a rapidly growing industry.
- Qualifications: Extensive compliance experience in retail investments and pensions.
- Other info: Join a supportive team and enjoy excellent career growth opportunities.
The predicted salary is between 84000 - 120000 £ 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 level
Employment Type
- Full-time
Note: 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 the interview by brushing up on your knowledge of FCA regulations and compliance best practices. We want you to showcase your expertise and how it aligns with the company's goals.
✨Tip Number 3
Don’t just apply; engage! If you see a role that excites you, drop us a message through our website. Show your enthusiasm and let us know why you’re the perfect fit for the Head of Compliance position.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can set you apart from other candidates. It shows your appreciation and keeps you fresh in the interviewer's mind.
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 seeing passion and personality, so let that come through!
Showcase Relevant Experience: When filling out your application, be sure to highlight specific experiences that relate to compliance activities, regulatory reporting, and team management. We’re looking for someone who can hit the ground running, so make it clear how you can contribute from day one.
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 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 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.
✨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 their exciting future. Showing genuine interest in their mission will set you apart.
