At a Glance
- 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.
- Other info: Join a supportive team and enjoy excellent career growth opportunities.
- Why this job: Shape the future of compliance in a rapidly growing industry.
- Qualifications: Extensive compliance experience in retail investments and pensions.
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
Join a rapidly growing Consumer Lending firm in London, where you will benefit from a supportive work culture that prioritises employee development and mentorship. With a hybrid working model and a focus on career progression, this role offers you the chance to broaden your skills while being part of an exciting journey as the company expands into new markets. Enjoy competitive benefits and the opportunity to make a meaningful impact in a dynamic environment.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance (Retail Pensions & Investments)
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Willow Resourcing Limited looking for candidates who are engaged and informed.
We think you need these skills to ace Head of Compliance (Retail Pensions & Investments)
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Willow Resourcing Limited. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Willow Resourcing Limited
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Willow Resourcing Limited’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
